thoroughly verify information before making investment decisions by directly inquiring the companies or individuals being covertly referenced. Additionally, it is essential not to disclose personal
. In particular, the account opening and KYC system is inadequate, resulting in the company’s failure to know its clients and verify the true identity of the clients or beneficial owners. These
inappropriateness for acting as capital market business personnel. Investors intending to subscribe for investment units of mutual funds are strongly advised to always verify transaction confirmation documents to
of {X1} Company Limited, the SEC found deficiencies in the company's KYC/CDD system. Also its client activity oversight was insufficient to effectively verify the identity of clients or their
regulations under Chapter 4; (5) submission of evidence to confirm clients’ transactions shall comply with the regulations under Chapter 5; (6) provisions of communications and services related to any capital
information. You may withdraw your consent at any time by taking the following steps: Press the unsubscribe button from the emails of the SEC Office; Check the email address; Press the Confirm button to
examination of the working paper and the audit quality control system and specify the list of working papers to be examined; - On-site inspection, notify and confirm the issues found verbally; - Consider the
information. You may withdraw your prior consent at any time by taking the following steps: Press the unsubscribe button from the emails of the SEC Office; Check the email address; Press the Confirm button to