this Notification: (1) “administrative proceedings” means proceedings related to consideration on administrative sanction; (2) “administrative sanction” means administrative sanction specified under law
PowerPoint Presentation Procedure for Administrative Action and Appeal Filing Taking legal action(s) Administrative Action Civil Sanction Criminal Action Considering whether to constitute law
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
” means executive under Section 89/1; “control” means control under Section 89/1; “derivatives” means derivatives under the law on derivatives; “inside information” means information that has not been
Organizational Structure, Operating System and Operational Control Clause 2 In undertaking the derivatives business, a derivatives dealer shall set up organizational structure, operating systems and operational
Organizational Structure, Operating System and Operational Control Clause 2 In undertaking the derivatives business, a derivatives dealer shall set up organizational structure, operating systems and operational
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
the website of the SEC Office: (a) certifying that such audit firm has a audit quality control system under Clause 11(1) and giving consent for an inspection by a representative of the SEC Office; (b
violation? In-dept investigation and Seeking further evidence End YES NO Considering whether to constitute law violation NO YES Taking legal action(s) Administrative Action Civil Sanction Criminal Action
order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the Capital Market Supervisory Board shall have the power to specify in its