allowed to contact and give investment advice to clients. The SEC has emphasized to all intermediaries to strictly instruct their investment consultants to obtain and compile sufficient information for

.   “It is part of the SEC Investor Education Strategy to build the public’s immunity against investment scams and equip them with knowledge and skills on financial and investment management to help them

clients An intermediary shall compile [i] sufficient information relating to clients in order to identify the clients and [ii] other information for supporting its properly provided services; (10

intermediary shall compile [i] sufficient information relating to clients in order to identify the clients and [ii] other information for supporting its properly provided services; (10) communications with

a client and another client; (8) clients’ interests An intermediary shall pay regard to the interests of its clients and treat them fairly; (9) know your clients An intermediary shall compile [i

information to compile reports and to help us improve the website. The cookies collect information in a way that does not directly identify anyone, including the number of visitors to the website and blog

entered into a Joint Venture Agreement with Toyobo Co., Ltd. (“Toyobo”), Japan, on October 23, 2020 to form a 50:50 joint venture limited liability company in Thailand (the “JV”). The JV plans to build a

the definitions and qualifications of CFOs and accountants, and the disclosure of securities offering information via Form 69-1, which would help to build a more efficient ecosystem where quality

information on their CFOs and accountants with regard to their education, accounting training and work experiences.The new qualification criteria would build a robust foundation for qualified CFOs and

our duties in various areas will reflect our commitment to independence, transparency and fairness for all. This is how we build trust and confidence. Personally, I would be pleased and thankful for