ascertain whether any outstanding amounts may impair the firm’s independence? a. If “yes,” answer the following questions: - Who does this? - How often is it done? - Have there been any such situations during
common employment and other means, and evaluating whether any of those services might impair independence? a. If “yes,” identify the relevant policies and procedures. b. If “no,” describe how the firm
pending or known to be contemplated. 10. Describe the issuer’s policy on dividend distribution or, if it does not have a fixed policy, state so. B. Significant Changes Disclose whether or not any
previous accounting year, and also demonstrate type of other non-audit service; 9.14 Other compliances of corporate governance principles (if any) specify whether or not there is any other compliances to
against the Securities Law. The Civil Sanction Committee, comprising Attorney-General as Chairman and capital market experts as members, considers whether a civil sanction is an appropriate legal proceeding
monitored with professional investment advices. If investors encounter any solicitation to transfer money into an account of securities firm, whether or not it is the firm that investors have already opened
persuaders on whether or not they are licensed as the digital asset business operators on SEC list. Those who are not listed and intend to operate digital asset businesses can request SEC for licenses and
Bitcoins worth approximately 797 million baht. SEC is working closely with the enforcement personnel to investigate further details and examine whether there is any violation of laws governing securities
inspection; 5. Complaints with other agencies, i.e., please specify whether or not you have filed a complaint / tip regarding the same matter with other agencies, for instance, the Office of the Consumer