Ministry of Finance. The approval criteria include clear disclosure of information, fairness and compliance ? there must be no grounds of suspicion regarding the issuer's intention to avoid regulatory
caution and inspect details before making an investment, otherwise, investors may lose a large amount of money. Those who have been persuaded or have suspicion, please contact SEC Help Center at 1207
director or executive of juristic person listed on the Securities Exchange or traded in any over-the-counter center who contravenes Section 307 308 309 310.) Q: What level of suspicion and severity of
information, fairness and compliance ? there must be no grounds of suspicion regarding the issuer's intention to avoid regulatory compliance or exploit investors ? and integrity of directors and executives who
audit engagements of 65 registered auditors in the capital market, which comprised 39 auditors renewing the license and 26 new approval requests. The inspection results (as shown in figure 21) represent
warn the client and notify the supervisor of the suspicion. Moreover, the SEC urges securities firm's executives to monitor investment consultants under their supervision to perform duties in compliance
that they are issued by the servicing securities company. In case of suspicion, investors should contact the compliance officer of the securities company without delay. In any case, investment
; asset systems that could not segregate the customers' assets from Satang's without doubt. DAB Act S.31 Settlement Committee Meeting No. 12/2022 Settlement Committee Order No. 20/2022 Dated 07
supporting declaration of identity and additional documents in case of reasonable suspicion concerning investor’s qualifications. Securities company shall revise investor’s information under the first