this Notification: (1) “administrative proceedings” means proceedings related to consideration on administrative sanction; (2) “administrative sanction” means administrative sanction specified under law
relating to any violation and penalty imposed on the violators, including any other information obtained in the performance of duties under this Act. SECTION 25. The initial capital of the SEC Office shall
relating to disciplinary punishment for members’ demeanor to the SEC Office without delay; (b) disclosing information relating to [i] violations or offences in connection with asset appraisal or failing to
additional professional education or training); (D) a civil money penalty for each such violation, in an amount equal to— (i) not more than $100,000 for a natural person or $2,000,000 for any other person; and
influence and corruption permitted wrongdoers to escape punishment. Policy-makers should bear in mind that the credibility of a corporate-governance framework rests on its enforceability. To build this
SEC Office shall take into consideration the following factors: (1) involvement role and behaviors of the person under consideration; (2) sanction already imposed on such person; (3) impact on or damage
Band และใช้การซื้อขายแบบ Auction สำหรับหุ้นที่อยู่ในมาตรการกำกับการซื้อขาย และการทบทวนเกณฑ์ การดำเนินการ (sanction) กับลูกค้าที่มีพฤติกรรมไม่เหมาะสม รวมทั้งการเปิดเผยรายชื่อลูกค้าที่ส่งคำสั่งไม่ เหมาะสม
order to comply with this Notification. Clause 15 In case a derivatives dealer breaches this Notification, the derivatives dealer shall be liable to administrative sanction under Section 111 in
period was over; (2) I was subject to the civil fine imposed by the Civil Sanction Committee with the written notice, and it has not yet surpassed the period specified by the SEC Office (the maximum period