determine a violation and take an action on any individual or firm, the SEC would investigate and gather information, facts and evidence concerning the violation. Generally, an alleged offender may clarify or
approval for the imposition of civil sanction, the Civil Sanction Committee has the duty to consider and determine an appropriate civil sanction to be imposed on the offender. There are five types of civil
determine the term of debt securities to be in line with their term of financial needs. On the investors' side, debt securities provide an investment alternative during the period of fluctuations in the
securities and whether they are offered privately or publicly. These are important factors to determine the level of impact: Type of securities Who offers the securities Nature of offers Regulations New
every person holding the position equivalent to the fourth rank", the departmental manager of such departments should not be considered as “executive". 2. In order to determine who is regarded as “person
: (1) Notify the unitholder registrar to acknowledge the limitations on unitholding and monitor the unitholder registrar to reject a transfer of investment units that will violate the rule. (2) Examine
company must arrange to have a monitoring process for the allocation to comply with the decision of the board of directors. For instance, an internal auditor may be assigned to monitor the allocation, etc
manager of such departments should not be considered as “executive". 2. In order to determine who is regarded as “person holding executive position in Accounting or Finance Department whose rank is not
in favor of the plaintiff. The Court shall determine the amount of the award by taking into account the difficulties of the case together with the period of time and the work of the counsel for the