director or executive of juristic person listed on the Securities Exchange or traded in any over-the-counter center who contravenes Section 307 308 309 310.) Q: What level of suspicion and severity of
director or executive of juristic person listed on the Securities Exchange or traded in any over-the-counter center who contravenes Section 307 308 309 310.) Q: What level of suspicion and severity of
being major shareholder of securities company; provided that severity of such person's behavior shall be taken into account. Further, the specified so period shall not be longer than five years from the
the accounting periods that the mutual fund have retained earnings or net profit, provided that: 1) The dividend payment must not increase the mutual fund's retained loss in that accounting period. 2
Operators The Notification of the Office of the Securities and Exchange Commission No. SorThor. 39/2561 Re: Prescription of Factors in Determining Severity of Behaviors Which are Prohibited Characteristics
Operators The Notification of the Office of the Securities and Exchange Commission No. SorThor. 39/2561 Re: Prescription of Factors in Determining Severity of Behaviors Which are Prohibited Characteristics
of Mutual Fund 17. Dividend payment A mutual fund may pay dividends from its retained earnings or net profits in the accounting periods that the mutual fund have retained earnings or net profit
depending on the severity of the case. If the penalized party disagrees with the SEC order, an appeal can be filed. Administrative sanction ensures that supervision will proceed stringently and efficiently
depending on the severity of the case. If the penalized party disagrees with the SEC order, an appeal can be filed. Administrative sanction ensures that supervision will proceed stringently and efficiently
director or executive of juristic person listed on the Securities Exchange or traded in any over-the-counter center who contravenes Section 307 308 309 310.) Q: What level of suspicion and severity of