estimates; Taking actions to ensure that neither the executives of securities issuers nor any FAs disseminate the information that is not contained in the filing; Together with the issuers, clarifying to the
SEC is empowered to take any of the following actions, as the case maybe: (1) Administrative Actions, (2) Criminal Actions, and (3) Civil Sanctions A flowchart of Procedure for Investigation and
brokerage outside the Securities Exchange for any securities, a securities company shall operate and collect fees or service charges in accordance with the procedures as specified in the notification of the
brokerage outside the Securities Exchange for any securities, a securities company shall operate and collect fees or service charges in accordance with the procedures as specified in the notification of the
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
development by enhancing the performance of companies and increasing their access to outside capital. The OECD Principles of Corporate Governance provide the framework for the work of the World Bank Group in
market product having high risk or complex characteristics shall comply with the regulations under Chapter 6; (7) receiving trading orders of capital market products outside the offices of intermediaries
market product having high risk or complex characteristics shall comply with the regulations under Chapter 6; (7) receiving trading orders of capital market products outside the offices of intermediaries
market product having high risk or complex characteristics shall comply with the regulations under Chapter 6; (7) receiving trading orders of capital market products outside the offices of intermediaries
Office operation ( 6 record(s) found) No. Report Name Data File As of Data Definition 1 Actions against related party transactions and acquisition and disposal of assets 2022 2 Rectification orders