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
-existing facts. 6. Complete disclosure of information in accordance with the prescribed form. 7. Not being in default om principal or interests of any debt securities or in default on a loan payment. 8
reports to the SEC/ SET. 3. The directors and executives shall be listed on the database of directors and executives of the securities issuing companies. 4. Not being in default on principal or interests of
business. 7. Not being in default om principal or interests of any debt securities or in default on a loan payment. 8. Not being in breach of the terms and conditions of the debt securities. 9. Features and
space. The rent means compensations from performing such activities. Transactions on principal assets/with related persons Acquisition/disposal of principal assets Transaction size (X) in
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