describe. In case that the firm is a significant component or business unit, does the firm have policies and procedures in place to ensure that significant matters related to the group audit have been
subsidiary (Additional Information) 11/01/2023 20:00 Notification of the Disposition of the Company's assets and the establishment of a subsidiary 08/04/2022 17:12 The notification on the progress of the
consumption, and diversity and inclusion - our Little Helps Plan sets our level of ambition and strategies for delivery and is the mechanism by which we report our progress. It also enables us to report on the
in the notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective system for product screening in order to offer for sale of debt instruments. SEC Act
AEC Securities Public Company Limited. Between May 16, 2019 and September 21, 2020, AEC Securities Public Company Limited., as a securities broker, failed to put in place a sufficient and effective
the rules and the time specified by the Office. Such publications or disclosure shall be displayed in a prominent place at the office of such securities company. A report together with a copy of such
the rules and the time specified by the Office. Such publications or disclosure shall be displayed in a prominent place at the office of such securities company. A report together with a copy of such
prominent place at the office of such securities company, published in at least one local daily newspaper, and one copy shall be submitted to the SEC Office. This case is expired. SEC Act S.106
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in place sufficient and effective system for selling and buying
procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors. SEC Act S.116 Settlement Committee Meeting No. 4