securities business operators and individuals before using their services or making investment decisions. In case of suspecious unlicensed securities business operation, please call SEC Hotline 1207 for
, have played a critical role in supporting businesses and individuals through the Covid-19 pandemic. Now financial services have an equally important role to play as we recover - fostering a new, better
of further legal action. The criminal complaint above has caused the two individuals to have untrustworthy characteristics as director and executive of securities issuing company and listed company
investments associated with securities, as well as the management of individuals' investments to seek benefits from securities. These activities were carried out through social media platforms, i.e
, such bills must be accompanied by solicitation or advertisement of the issuance of the bills for the purpose of raising fund from more than 10 entities at any given time, including individuals holding
been known to have gigantic impacts even on the global market. To ensure the financial statements of those entities conform to accounting standards, auditing can no longer relies only on individuals but
, documentation and support of its quality control policies and procedures. 9 Do the individual or individuals assigned operational responsibility for the firm’s QC system by the firm leadership have sufficient and
or part- time auditors and individuals in the service delivery center) If yes, please describe. 2 How does the firm determine staffing requirements and minimum qualifications for each position? (full
necessary action can be taken; SEC treats all complaints equally, whether they are submitted by individuals or a group of individuals, and through any channels. Matters under the SEC Responsibility
firm? If yes, Is the center: (a) Personnel within the firm? (b) Individuals from a network firm? What audit procedures are assigned? _x000D_&1#&"Tahoma"&12&KC0C0C0 SEC Classification : ใช้ภายใน (Internal