unit; for instance, to monitor development of new regulations, work as knowledge center for all employees, inspect or review compliance of business operations, prepare operational inspection plan and

's system for categorizing customers and offering debentures according to the customer classification, as well as its supervision were insufficiently stringent because CL did not inspect that the

securities company as an investment consultant), jointly manipulated the TAPAC share price by executing trading orders of such share in such a manner that stimulated the share's movements, and arranging low

date to consider arranging an extraordinary shareholders meeting for the election of new directors to fulfil the quorum requirement in accordance with Section 83 of the Public Limited Companies

involves in or has an interest, whether directly or indirectly, in such mutual fund or management company in a manner that may cause unfair, non-impartial and non-independent in arranging the mutual fund

will regularly review and maintain the audit quality control system to comply with the standards mentioned in 1. Additionally, the audit firm consents for inspectors of the SEC Office to inspect the

and maintain the audit quality control system to comply with the standards mentioned in 1. Additionally, the audit firm consents for inspectors of the SEC Office to inspect the audit quality when

and the audit firm consents inspectors of the SEC to inspect the audit quality system when the SEC requires. 3. I consent to prepare and deliver information that the audit firm will prepare or obtain

Following tips and the SEC’s further inspection, it was found that {X1} has provided platform services for trading or exchanging digital assets via its website by matching orders or arranging for the

. Persuasion to invest with falsely high return in a short period may be regarded as deception to investors. SEC would like to warn investors to take caution and inspect details before making an investment