薩班斯法案（2002）Sec.604.(2)

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來源: www.sarbanes-oxley-forum.com 編輯： 2011/01/18 14:58:49　字體：大小

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　　(b)INVESTMENT ADVISERS.-Section 203(e)of the Investment Advisers Act of 1940(15 U.S.C. 80b-3(e))is amended-

　　(1)by striking paragraph(7)and inserting the following:

　　"(7)is subject to any order of the Commission barring or suspending the right of the person to be associated with an investment adviser;"1473

　　(2)in paragraph(8),by striking the period at the end and inserting"1473or"1473and

　　(3)by adding at the end the following:

　　"(9)is subject to any final order of a State securities commission(or any agency or officer performing like functions),State authority that supervises or examines banks,savings associations,or credit unions,State insurance commission(or any agency or office performing like functions),an appropriate Federal banking agency(as defined in section 3 of the Federal Deposit Insurance Act(12 U.S.C. 1813(q))),or the National Credit Union Administration,that-

　　"(A)bars such person from association with an entity regulated by such commission,authority,agency,or officer,or from engaging in the business of securities,insurance,banking,savings association activities,or credit union activities;or

　　"(B)constitutes a final order based on violations of any laws or regulations that prohibit fraudulent,manipulative,or deceptive conduct.".

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