the following orders: rectification of non-compliance operation, restriction of defective business operation, disclosure of improper behaviors, and suspension or revocation of approval, etc
; (4) with a CPA license suspended during the last three years before filing an application, unless the cause of such suspension is the same as of the SEC's suspension or revocation of the approval as
to order: (1) Clarification or disclosure of additional information; (2) Rec tification of the characteristics of the mutual fund; (3) Suspension of an offering for sale of additional investment units
to order: (1) Clarification or disclosure of additional information; (2) Rec tification of the characteristics of the mutual fund; (3) Suspension of an offering for sale of additional investment units
sanctions, namely: (1) a civil penalty; (2) a compensation at an equal amount to the benefit received or should have been received from committing an offence; (3) a suspension of securities or derivatives
/ASEANCollectiveInvestmentSchemes.aspx English (United States) SharePO after either the person completed the term of imprisonment or the suspension of sentence period ended. Having been subject to the court's order of asset seizure
past year, there is no record of being ordered to amend its financial statements or to explain or being temporarily banned from trading its listed securities under the Trading Suspension sign (SP), etc
offences pursuant to the prescribed section and it has not yet surpassed an interval of three years after either the person completed the term of imprisonment or the suspension of sentence period ended
of 2018: (1) a compensation at an equal amount to the benefit received or should have been received from committing an offence; (2) a suspension of securities or derivatives trading for up to five
, incompetent or quasi- incompetent person, (2) being or having been suspension of CPA license during the past three years, unless the reason of suspension is the same as of the SEC's sanction, (3) having