services in the particular circumstances This checklist reviews such policies and procedures of the firm. Sr. Particulars Reference /Guidance Notes Description A Client Acceptance: 1 Have there been any
); • Changes in the scope of engagement; • Changes in the strategic focus or composition of the firm; • Existing conditions that would have caused the firm to reject the client had such conditions existed at the
{C}, a securities investment consultant. They were employees of Country Group Securities PCL while the misconduct occurred. Following the complaint filed with the SEC and the complaint inspection
matter which substantially affect the intermediary , investors or capital market, the SEC Office may determine to submit thereof within the business day when such matter has been occurred; (b) in case of
or capital market, the SEC Office may determine to submit thereof within the business day when such matter has been occurred; (b) in case of matters other than sub clause (a), the SEC Office shall
Company Limited (the “Company”) would like to submit the financial statements for the fiscal year ended December 31 st , 2019, which have been audited by the independent auditor. The Company’s net profit
(there has been no connected transaction occurred during the last six-month period). Therefore this transaction is not required (i) the Board of Directors approval; (ii) shareholders approval; and (iii
occurred during the 3rd quarter 2017. SSK Inter Logistics Co., Ltd. ("SSK") has restructured shareholders and reduced the registered capital completely since August 15th, 2017 results SSK become as a
intermediary who has been rendered a waiver of appointing an independent director under the Notification of the Office of the Securities and Exchange Commission concerning Rules on Rendering a Waiver of