statements of STARK, for the years 2019-2021, constituted a serious failure to comply with auditing standards regarding risk assessment and audit planning, journal entry testing, analytical procedures

procedures and expenses. Furthermore, capital market tools currently available do not respond to SMEs’ needs. Therefore, SEC is now developing new rules to add more fund mobilization options for SMEs that

registration statement and draft prospectus shall be in compliance with the rules, conditions and procedures as prescribed by the Capital Market Supervisory Board by virtue of Section 56 [of the Securities and

Rules, Conditions and Procedures for Application for License and Issuance of License for Establishing a Securities Trading Center under Regulatory Sandbox to Experiment and Develop Innovation In

Complaints of Clients dated 3 August 2009; (2) The Notification of the Capital Market Supervisory Board No. Tor Thor. 63/2552 Re; Rules, Conditions and Procedures for Brokerage and Dealing of Securities Which

procedures as specified in the notification of the Capital Market Supervisory Board by failing to have a sufficient and effective system for executing securities transactions for the mutual fund. SEC Act S

the objective to use the proceeds identified in the registration statement and the draft prospectus that is not in accordance with rules, conditions and procedures as specified in the notification of

not Debt Instruments (Codified as of 25/10/2006) (Synopsis)   26/09/2000 01/01/2001 3. Notification of Capital Market Supervisory Board  TorThor 70/2552 Rules, Conditions and Procedures for Securities

)   14/09/2010 01/10/2010 Notification of Capital Market Supervisory Board  TorKhor 35/2553 Rules, ConditioRules, Conditions and Procedures for Appointment of Agents for Selling Investment ns and

(Codefied)   14/09/2010 01/10/2010 Notification of Capital Market Supervisory Board  TorKhor 35/2553 Rules, ConditioRules, Conditions and Procedures for Appointment of Agents for Selling Investment ns and