process to members and shall include a system, in form of a committee, for consideration of appeals filed by the members against the disciplinary sanction. The Capital Market Supervisory Board rules

this Notification: (1) “administrative proceedings” means proceedings related to consideration on administrative sanction; (2) “administrative sanction” means administrative sanction specified under law

PowerPoint Presentation Procedure for Administrative Action and Appeal Filing Taking legal action(s) Administrative Action Civil Sanction Criminal Action Considering whether to constitute law

2566-2#2I-!9%*44 (website) Dec 66.xlsx Statistics of Administrative Sanction (As of 31 December 2023 Public Reprimand Suspension Revocation Public Reprimand Suspension Revocation Business Operator

PowerPoint Presentation Considering whether it constitute law violation Taking legal action(s) Administrative Action Civil Sanction Criminal Action CSC considers whether a civil sanction is proper to

association with any registered public accounting firm; (C) temporary or permanent limitation on the activities, functions, or operations of such firm or person (other than in connection with required

of Limitation and Settlement Committee _________________ Division 1 Administrative Sanction _____________ SECTION 67 The administrative sanctions are as follows: (1) probation; (2) administrative fine

specified by the Minister. SECTION 66 In the execution of his duties under this Act, the competent officer shall be an officer under the Penal Code. UNOFFICIAL 16 Chapter 8 Sanctions, Statute of Limitation

in auditing and reviewing its 2014 and Q1/2015 financial statements where the auditor expressed qualified opinions due to limitation on scope of audit imposed by the company management. EIC must submit

violation? In-dept investigation and Seeking further evidence End YES NO Considering whether to constitute law violation NO YES Taking legal action(s) Administrative Action Civil Sanction Criminal Action