. Nonetheless, she neither examined KYC/CDD documents of the client and the beneficial owner, nor recorded the beneficial owner's identity. In this case, the beneficial owner was an executive and a shareholder of
than such specified age. Furthermore, the findings showed that Nakul had not properly conducted cadastral survey of land and inspected the building structures and renovation records prior to Montri Fund
operation may commence only after the SEC has inspected and is assured of such operational readiness.2.Appointment of selling agents2.1 The appointee must be a legal entity having experience in gold trading
to in the registration statement may be inspected. Exhibits and documents on display generally, if not provided in English, either an English translation of the full text or a summary thereof shall be
” assessment results in the part relating to auditing? Yes No Have you ever been inspected the audit quality by the audit oversight authority? Yes No If yes, please provide us the latest results of the
…………………………………………………………… 2 Certification of the Accuracy of Information I, as an authorized signatory of the issuer, have duly examined the information contained in this registration statement, appendices and attachments
or giving any advice to the client, he signed such selling order form in the capacity of an investment consultant. In addition, he neither examined the transaction nor requested for additional
for the digital asset operating licenses.SEC examined information of Southeast Asia Digital Exchange Co., Ltd. (SEADEX) and found that SEADEX has been operating a digital asset exchange before the
implement mechanisms for the supervision of its affiliated and associated companies. These mechanisms must be examined by the holding company’s audit committee and board of directors. Measures ensuring that
that was assessed under the FSAP and earned at least “Broadly Implemented” assessment results in the part relating auditors? Yes No 4.5 Have you ever been inspected by the audit oversight authority? Yes