C1: CEA's Disciplinary Cases (2015) (C1L1S0553)
This course illustrates the misconduct which had been committed, the charges which were brought as well as the penalties that were imposed by CEA’s Disciplinary Committee upon the respective respondents. The cases are examples of breaches of the respective regulations and the penalties that are meted out for these breaches, which are dependent on the facts and circumstances of each case. They are meant to inform salespersons about the disciplinary cases which have been concluded and to remind them not to commit such breaches of the Act and Regulations.
The cases are also meant to provide respondents, in ongoing disciplinary proceedings, (who may be facing charges similar to those cited in the cases and who wish to know about precedents e.g. plea bargaining purposes) with information on the previous decisions of penalties meted out by the Disciplinary Committee.
Trainer: Celeste Ng