can timely identify, capture, process, communicate and maintain relevant and reliable information for supporting the SOQM? 3 How does the firm keep the communicated information current, meaningful and

Pursuant to the existing regulations on standard conduct of business, a securities and derivatives business operator intending to have a third party handle its partial business functions may do so in

website: www.globalinvestments.net and www.Qropdirect.com to lure investing public that it had a team of experienced and expert investment consultants to handle suitable portfolios for investors through

handle suitable portfolios for investors through different company names such as Global Investments Far East Limited and Global Investments International Limited. The aforesaid person jointly operated

first assessment, all listed companies are expected to achieve Level 1, signifying intent to comply with laws and regulations with ability to communicate with all stakeholders.Vorapol Socatiyanurak, SEC

indicate that the system of quality control is insufficient. 2) Systemic, repetitive or other significant deficiencies that require prompt corrective action 2 Does the firm communicate (Audit Compliance

procedure to evaluate the effect of the identified deficiencies? If yes, please describe those criteria and procedure. B3 Does the firm communicate (Audit Compliance Review Report) with specific corrective

regulations. 1.3.5 Prevention of money laundering and terrorist financing. Principle 1.4 Institutional Investors should communicate, promote, and publicly disclose the Policy internally and externally

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statements reflect true business operation activities of the company. 6.4 The board of directors or the risk management committee approves and communicate risk management policy to executives and all employees