Earlier, the Civil Sanction Committee had resolved to impose a civil sanction on the three offenders who were subject to pay a separate civil penalty and compensate for the benefits that should have
Earlier, the Civil Sanction Committee had resolved to impose a civil sanction on the three offenders who were subject to pay a separate civil penalty and compensate for the benefits that should
as a listed-company director with responsibility, prudence, honesty and integrity. As a result, the Civil Penalty Consideration Committee ordered Mr. A to pay a civil fine and compensate the SEC for
with responsibility, due care and loyalty. As a result, the Civil Sanction Committee ordered {A} to pay a civil fine, compensate the SEC for any expenses incurred from investigating the offence, and
on the clients? behalf at a high trading volume and value. Later, the clients demanded her to compensate for losses incurred from trading. In addition, {A} admitted to trading in such manner by giving
per annum, with the promise that the company would repay the principal and generate the guaranteed returns gradually every 30 days until the investment contract expired. At the time of the inspection
. “How to Invest in the Time of COVID-19” 2. “A Way Out for Debtors: Face the Debts and Ready to Repay” 3. “How to Manage Life Insurance during COVID-19 Situation” 4. “A New Normal: Financial Behaviors
loss. Moreover, {A} advised the client to wait for a quota of IPO shares and expect such shares to compensate for the loss incurred in the client’s derivatives trading account. {A}’s behaviors above were
lawsuit against Surin in the Civil, pressing for civil sanctions with the highest legal penalty. SEC has sought the Court’s ruling to require Surin to pay a civil fine, compensate the benefits received
investment but the bank did not. Thus, the client lodged a complaint and asked the bank to compensate the whole investment amount. It was found that {A} signed the structured note subscription order, risk