unlawful acts in other cases. ✓ ✓ ✓ Summary of the types of auditor’s reports (Form 61-4)* *Since 1 December 2020, this information has no longer been required. ✓ ✓ Related party transactions (RPT) of the
derivatives investment advisors. ✓ ✓ ✓ ✓ Company profiles and reports on wealth advice service (annually). ✓ 1. Data relating to operating systems and actions with intermediaries; 2. Appraisal companies
sale of newly issued securities; (2) an issuing company which has the duty to prepare and submit financial statements and reports on its financial position and operating results to the SEC Office; (3) an
, maintain, document, and enforce policies, procedures, and controls to ensure that the credit ratings and related reports it disseminates are based on a thorough analysis of all such information. 1.3 A CRA
any following process unless the exemption is granted by the SEC Office: (a) being failed to file financial statements or related reports required under Section 56; (b) being failed to file reports
amend agreements, document, sell reports, disclosures, waivers, reports, applications, and other significant evidences relating to the issuance and offering of newly issued share including to contact and
newly issued shares date and the share capital increase payment method (2) To negotiate, agree, sign, and to amend agreements, document, sell reports, disclosures, waivers, reports, applications, and
SEC Office: )a) the applicant has failed to file the financial statements or related reports required under Section 56 or Section 199 in conjunction with Section 56, as the case may be; )b) the
Derivatives Advisors dated 17 January 2018, and Clause 1(3) of the Notification of the Capital Market Supervisory Board No. Tor Thor. 59/2552 Re: Rules and Periods for Submitting Reports of Securities Companies