Sanctions against Members (Business Flow) - Self-regulatory

With respect to the violations of laws and regulations or the rules of the Exchange by a Member identified through the examination of trades and audit of Members conducted by the Exchange, the Self-regulatory Committee will decide the specific sanctions, etc. to be imposed based on the Market Rules, etc. of the Exchange after following the due procedures such as the provision of the opportunity to provide explanation.

Flow of Sanctions on Unfair Trading, etc. Imposed by the Exchange


TOP