derivatives (contract), derivatives business, derivatives exchange, derivatives clearing house, regulatory association of derivatives business operators and prevention of unfair derivatives trading practices
178,713,420.36 31,807,149.07 1,643,024.07 2 5 Offences/Year 2023 Signed a Letter of Consent Filing a lawsuit to the Civil Court Director of Company Unfair Securities Trading Activities *This offense was committed
securities for business take-overs, and prevention of unfair securities trading practices. Such power shall include: (1) the issuance of rules, regulation, notifications, orders, or directions under this Act
105 2023 Criminal Fine File Criminal Complaint Securities/Digital Asset Business Operator Others Director of Company Unfair Securities Trading Activities Securities Issuance Offences* /Year 2022
customers or the public in any matter concerning the price, value and nature of the securities involved; (3) engage in any act which may cause damage or constitute an unfair advantage to its customers or
imposed on an offender for these following offenses under SEA: (1) committing unfair practice regarding securities trading (e.g. market manipulation and insider trading); (2) presenting a false statement or
affirm … action that is already being taken by the company. Vote to advise … on the substance and directionality of the resolution, rather than the intricate details. Voting in favour of shareholder
on the upcoming or intricate financial reporting standards. Additionally, the SEC will continue to encourage listed companies to establish a more robust internal control system. In so doing, we will
: (1) committing unfair practice regarding securities /digital assets trading (2) presenting a false statement or concealing material facts that should have been stated; (3) failing to perform duties as
empowered to prohibit digital asset businesses from engaging in any particular digital-asset-related activity, or to suspend their operations wholly or partially. F. The Prevention of Unfair Trading Practices