DRA-4.1.7
The following penalties can be imposed by the Disciplinary Committee:
(a) Reminder;
(b) Warning;
(c) Confiscation of all or part of the CMSP's guarantee;
(d) Suspension of trading by violating companies for a period not exceeding four months;
(e) Striking off the listed companies and unlisted companies, or the transfer of a listed company into an unlisted company whose securities are admitted for trading;
(f) Suspension of a CMSP's membership for a period not exceeding four months;
(g) Cancellation of membership of a CMSP , and any other person with a similar status membership; or
(h) Any other penalty available, as per the rules of the SRO .
Amended: April 2020
Added: July 2010
Added: July 2010