, securities company, Securities Exchange, over-the-counter center, organization related to securities business or information relating to any violation and penalty imposed on the violators, including any other
relating to any violation and penalty imposed on the violators, including any other information obtained in the performance of duties under this Act. SECTION 25. The initial capital of the SEC Office shall
relating to disciplinary punishment for members’ demeanor to the SEC Office without delay; (b) disclosing information relating to [i] violations or offences in connection with asset appraisal or failing to
judgement, no matter if the imprisonment is suspended, and shall end after the imprisonment or the suspension thereof has surpassed an interval of three years; (2) a removal on the ground of civil sanction
TCMA, this sanction is imposed on a Trustee and its director, manager or person responsible for the operation. (or Civil Penalty) is imposed on an offender for these following offenses under SEA and DAB
offences regardless of whether the infliction of punishment has been suspended, and having been acquitted of the imprisonment or discharged of the probation for less than 3 years: (a) the offences under
specified by the Office and may also require an explanation to elaborate or clarify such reports or documents in accordance with the rules and required as specified in the notification of the SEC. The reports
influence and corruption permitted wrongdoers to escape punishment. Policy-makers should bear in mind that the credibility of a corporate-governance framework rests on its enforceability. To build this
PowerPoint Presentation Procedure for Administrative Action and Appeal Filing Taking legal action(s) Administrative Action Civil Sanction Criminal Action Considering whether to constitute law
Statistics of Administrative Sanction (As of 31 May 2023) Public Reprimand Suspension Revocation Public Reprimand Suspension Revocation Business Operator Personnel Director & Executive