sanction appropriate for the presented facts of each case, and the imposition of all five sanctions in all cases is not required. In the case where the offender agrees to comply with the civil penalty
defective business operation, disclosure of improper behaviors, and suspension or revocation of approval, etc.; Administrative sanction is a type of penalty prescribed in the Derivatives Act and the Trust for
administrative sanction (Tha i Version Only) ORAP Handbook (Tha i Version Only) Regulations Guidelines Regulatory Summary SHARE : For More Information ContactUs Sales Conduct Supervision
the reason of suspension is the same as of the SEC's sanction, (3) having been revocation of CPA license, unless the CPA license has been re-granted for 3 years before filing the application, (4
, incompetent or quasi- incompetent person, (2) being or having been suspension of CPA license during the past three years, unless the reason of suspension is the same as of the SEC's sanction, (3) having
Association of Investment Management Companies Regulatory Summary The provisions under Trade Association Act B.E 2509 regarding the operation, control, dissolution and the penalty provisions are applied
date on which such person is released from punishment passed by the judgment, the Settlement Committee orders such person to pay fine, or the authorities empowered to supervise and consider such person's