Regulatory Alerts2006-05-22
Instructions of Investigating Violations of Securities Law (2004)
The Board of Commissioners of the Securities Commission issued these 2004 Instructions to standardize investigative procedures and enforcement actions for securities law violations. The document defines key regulatory terms, empowers the Competent Department to inspect records, summon witnesses, and issue violation notices, and mandates a formal reporting workflow to the Chairman. Following Board approval or special committee review, documented findings directly trigger statutory enforcement measures against non-compliant persons.
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