the part relating to his or her responsibility, incorrect and incomplete information and functioning of the computer system, failure to achieve information or utilise computer system consistently or in
functioning of internal control as intended. Questions Yes No 13.1 The company specifies information required for business operations. The information should be from both internal and external sources, which
, the amended financial statements and the report of the amendment must be disclosed publicly via SETLink by 19 December 2024. ____________________ Remark: * SEC News No. 198/2024 headline: SEC files a
knowledge and understanding of the general law governing professional practices. Directors, managers and persons with power of management who are responsible for the work unit relating to the functioning as
In case the customer files a complaint to the SEC Office which delivers the complaint to a derivatives broker, the derivatives broker shall report the results to the Office within thirty days from the
files the Registration Statement and draft prospectus together with filing the application to obtain approval, it shall be deemed that the submitted Registration Statement is the evidentiary documentation
SEC Office to suspend functioning as appraisal company in capital market or being under the period of time that the SEC Office could refuse to accept the application. Clause 11 A person would obtain an
deemed final. Clause 4 When a customer files a complaint to the SEC Office which sends the complaint to a securities company, the securities company shall solve the problem prescribed in the complaint