”* Meaning of “Delete” Meaning of “Cancel” 1 Draft The report is only a draft and has not been sent to SEC Office. It will not be published until you click ‘Send’, and the status will be changed to “Sent
own benefit; or (ii) sacrificed in the interest of social or political objectives set by the state. This can lead to inequitable treatment of shareholders through insider trading, abusive self-dealing
derivatives (contract), derivatives business, derivatives exchange, derivatives clearing house, regulatory association of derivatives business operators and prevention of unfair derivatives trading practices
178,713,420.36 31,807,149.07 1,643,024.07 2 5 Offences/Year 2023 Signed a Letter of Consent Filing a lawsuit to the Civil Court Director of Company Unfair Securities Trading Activities *This offense was committed
securities for business take-overs, and prevention of unfair securities trading practices. Such power shall include: (1) the issuance of rules, regulation, notifications, orders, or directions under this Act
105 2023 Criminal Fine File Criminal Complaint Securities/Digital Asset Business Operator Others Director of Company Unfair Securities Trading Activities Securities Issuance Offences* /Year 2022
and executives (Section 317/1(2)(3)) - Whistle blower (Section 89/2, 89/25) Prevention of Unfair Securities Trading Practices (Section 238 - 244/7) - Penal provision for unfair securities trading
related businesses, organizations related to securities business, issue or offer of securities for sale to the public, acquisition of securities for business takeovers, and prevention of unfair securities
customers or the public in any matter concerning the price, value and nature of the securities involved; (3) engage in any act which may cause damage or constitute an unfair advantage to its customers or
, to mitigate this concern, I delete all firms that do not report at least twenty quarters of earnings history. This implies that survivorship rate is similar for both string and non-string firms. 6/29