Criminal action is a type of law enforcement against any person who acts or omits to act in violation of the laws administered by the SEC. Criminal actions are divided into two groups, namely: (a) criminal
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
used in legal proceeding in case of violation. Whistleblower protection ● Any employee or worker who provides information or cooperation by giving a tip, testifying or submitting useful documents for
liable to violation of the governing laws; ● In case the company ignores or fails to provide a satisfactory solution and the matter is liable to violation of the laws enforced by the SEC, a complaint
Office. 5. No record of breaches of regulations and laws (i.e. being currently subject to a criminal complaint or legal prosecution for an offense concerning property by a relevant agency, only for a cause
or legal prosecution for an offense concerning property by a relevant agency, only for a cause arising from a deceitful, fraudulent or dishonest act, or having an application for an offer for sale of
. No record of breaches of regulations and laws (i.e. being currently subject to a criminal complaint or legal prosecution for an offense concerning property by a relevant agency, only for a cause
the untrustworthy characteristics. 5. The trust manager has no record of breaches of regulations and laws (i.e. being currently subject to a criminal complaint or legal prosecution for an offense
complaint or legal prosecution for an offense concerning property by a relevant agency, only for a cause arising from a deceitful, fraudulent or dishonest act, or having an application for an offer for sale
complaint or legal prosecution for an offense concerning property by a relevant agency, only for a cause arising from a deceitful, fraudulent or dishonest act, or having an application for an offer for sale