PowerPoint Presentation Procedure for Administrative Action and Appeal Filing Taking legal action(s) Administrative Action Civil Sanction Criminal Action Considering whether to constitute law
• Specified by Section 114- 119 of DA, this sanction is Imposed to the following persons: - Derivatives Business Operator - Derivatives Exchange - Derivatives Clearing House - Regulatory Association of
2566-2#2I-!9%*44 (website) Dec 66.xlsx Statistics of Administrative Sanction (As of 31 December 2023 Public Reprimand Suspension Revocation Public Reprimand Suspension Revocation Business Operator
this Notification: (1) “administrative proceedings” means proceedings related to consideration on administrative sanction; (2) “administrative sanction” means administrative sanction specified under law
Exchange Commission Re: Rules and Procedures for Applying for License and Registration of Association related to Securities Business ____________________ By virtue of Section 14 and Section 232 of the
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
, derivatives exchange, derivatives clearing house, regulatory association of derivatives business operators and prevention of unfair derivatives trading practices. Such power and duty shall include: (1) the
Exchange Commission Re: Rules and Procedures for Applying for License and Registration of Association related to Securities Business ____________________ By virtue of Section 14 and Section 232 of the
Section 230 Securities and Exchange Act B.E. 2535 Section 230. Securities companies may jointly establish an association related to securities business with an object of promoting, without seeking
association with any registered public accounting firm; (C) temporary or permanent limitation on the activities, functions, or operations of such firm or person (other than in connection with required