Regulatory Statistics
Description | Number of Times | Number of Company | Attachment |
---|---|---|---|
Exchange Enquiries * | 194 | ||
Trading Sign | |||
- Halt (H) | 6 | ||
- Suspension (SP) | 53 | ||
- Notice Pending (NP) | 17 | ||
- Caution (C) | 15 | 14 | |
Member audit | - | ||
Disciplinary actions - Member | |||
- Probation | - | ||
- Penalization | 1 | ||
- Prohibition from trading within the period of time | - | ||
- Termination of membership | - | ||
Disciplinary actions - Trader | |||
- Probation | - | ||
- Penalization | - | ||
- Temporary prohibition from performance of duties | - | ||
- Delisting | - | ||
- Prohibition from any performance within a period of time | - |
* Enquiries are made by the Exchange to listed companies through the exchange electronic system, letter, phone, or etc.