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
changed after that date. ……………….(name of securities company)…………… does not confirm nor certify the accuracy of such survey result
additional due diligence extension. The meeting has considered that the due diligence period was appropriate and enough to verify all information, therefore, the meeting disapproved such extension period. SIRI