Regulatory Statistics
Description | Number of Times | Number of Company | Attachment |
---|---|---|---|
Exchange Enquiries * | 62 | ||
Trading Sign | |||
- Halt (H) | 1 | ||
- Suspension (SP) | 12 | ||
- Notice Pending (NP) | 8 | ||
- Caution (C) | 3 | 3 | |
Disciplinary actions - Member | |||
Fines by Member's self-reporting | - | ||
Disciplinary proceedings | |||
- Probation | - | ||
- Penalization | - | ||
- Prohibition from trading within the period of time | - | ||
- Termination of membership | - | ||
Disciplinary actions - Trader | |||
- Probation | - | ||
- Temporary prohibition from performance of duties | - | ||
- Revocation of registration | - | ||
- Prohibition on the performance within a period of time | - |
* Enquiries are made by the Exchange to listed companies through the exchange electronic system, letter, phone, or etc.