subjected person to undertake or refrain from undertaking any action in order to rectify or prevent any repetitive violation or noncompliance with the Act, rules, orders or conditions specified under this Act
subjected person to undertake or refrain from undertaking any action in order to rectify or prevent any repetitive violation or noncompliance with the Act, rules, orders or conditions specified under this Act
) the nature of unlawful act is a violation or non-compliance of provision of law, regulation, order or condition, in materiality or a breach of fiduciary duty or a violation or non-compliance of
effective redress for violation of their rights. Equity investors have certain property rights. For example, an equity share in a publicly traded company can be bought, sold, or transferred. An equity share
may deregister a RR where the RR and/or his attached CMSL holder does not comply with any of the requirements as specified in the Handbook. • The SC may take action against the RR for breach of the CMSA
derivatives trading or guilty of deception, fraud or dishonesty, or having been fined for such violations; (c) having been named in any complaint relating to violation under sub clause (b) by financial
shareholders. Damages accrue to the shareholders. 12 REFORM PRIORITIES IN ASIA: TAKING CORPORATE GOVERNANCE TO A HIGHER LEVEL © OECD 2011 members and key executives for breach of their duties, failure to comply
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
house, regulatory association of derivatives business operators or information relating to any violation and penalty imposed on the violators under this Act, including any other information obtained in
relating to reasonable supervision to prevent juristic person or business under one’s management or to prevent staffs under one’s supervision (if any) from doing or omitting to do any act in violation or