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

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

PowerPoint Presentation Considering Whether it constitute law violation Taking legal action(s) Administrative Action Civil Sanction Criminal Action Considering whether offenses shall be extinguished

internal control system accounted for the business of the wrongdoer, in whole or in part; (c) such unlawful act occurred by the act or knowledge of the wrongdoer’s senior officer or a group of senior

account, or using any person’s securities trading account or banking account*** 0 - - - - - - Grand Total 11 48 802,929,923.86 56,040,458.00 965,972.99 1 35 **In TRUBB case, there was one offender

: “SECTION 266/1 An inquiry official may use the information, facts, documents and any evidence that the SEC Office has submitted with the filing of complaint against the offender as part of the criminal

through appropriate sanctions that (1) prevent the offender from profiting from wrongful acts (disgorgement), (2) penalize the offender (discipline), (3) discourage misconduct, and (4) inform the public of

Annual Report 2001 A N N U A L R E P O R T 2 0 0 1 S E C U R IT IE S A N D E X C H A N G E C O M M IS S IO N & O F F IC E O F T H E S E C U R IT IE S A N D E X C H A N G E C O M M IS S IO N , T H A

SEC Office has submitted in support of the accusation made against the offender may be used by an inquiry officer in the criminal investigation. Section 55. In the execution of his or her duties, the

first paragraph shall consist of three persons. Where a fine fixing committee has fixed a fine for an offence and the alleged offender has paid the fine as determined by the fine fixing committee within