ensure that investors would be informed of up-to-date, complete and sufficient information for investment decision-making in line with the globally recognized standards of the International Organization of
informed to the Audit Committee and the auditor to explain the facts and related actions regarding this issue. SEC requires the actions of the Audit Committee to ensure that SPRC has measures to improve
materiality. TRIS informed RML that TRIS downgraded the RML credit rating to "BB+" (Double B Plus) from "BBB-" (Triple B Minus) and the rating outlook is revised to "Negative" from
Status Report This is in reference to the SEC Office’s email dated 28 June 2010, which informed securities companies and derivatives brokers (“intermediaries”) of the requirement for submission of the
) Information disclosure and risk warnings, as stated in (1) and (2), must be disseminated through all official channels of DA operators, communicated this matter to all clients, and informed such information to
targeted audience? 2 How does the firm manage internal communication channels and/or methods to ensure that the most appropriate approaches are taken in urgent circumstance? (e.g., using multiple channel and
days as from the occurrence of such circumstance: (1) persons under Clause 5, Clause 6, Clause 8 and Clause 9 who has to obtain approval from the SEC Office only; (2) the highest level responsible person
business, ubscription Ag ectors, resulti In this reg and/or any pe y action in rel g any actions (A) Dete scop (B) Nego in re Subs (C) Exec and Com relev autho (D) Take actio be informed ely yours, tchai