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) Notification of the Office of the Securities and Exchange Commission No. Sor Nor. 1/2554 Re: Verification and Announcement of Qualified Units of Foreign ETF and Application for Allotment of Foreign ETF Units
. Our suggestion for prevention of future occurrences is to jointly consider establishing accuracy verification mechanisms that can enhance confidence in the financial reporting, including a
of clients? assets: deficiency of the verification process created risk of damaging client assets. It was found that during August 2014 to March 2015 many clients asked the company to add another
consequently affect confidence in securities business and the capital market at large; (2) Custody of clients? assets: deficiency of the verification process created risk of damaging client assets. It was
enter search criteria Document Type -- Select Security Type -- Financial Statements Annual Registration Statement (Form 56-1) Annual Report (Form 56-2) Key Financial Ratio Issuer / Underlying / Securities
search criteria Document Type -- Select Security Type -- Financial Statements Annual Registration Statement (Form 56-1) Annual Report (Form 56-2) Key Financial Ratio Issuer / Underlying / Securities Date
criteria Document Type -- Select Security Type -- Financial Statements Annual Registration Statement (Form 56-1) Annual Report (Form 56-2) Key Financial Ratio Issuer / Underlying / Securities Date From To