sanctions under Section 289. This case is in the process of inquiry by the inquiry official. SEC Act S.90 Criminal Complaint Filed with an Inquiry Official Dated 09/04/2014
. This case is in the process of inquiry by the inquiry official. SEC Act S.33 Criminal Complaint Filed with an Inquiry Official Dated 03/08/2022
Office. This case is in the process of inquiry by the inquiry official. SEC Act S.33 Criminal Complaint Filed with an Inquiry Official Dated 29/09/2022
SET. This case is in the process of inquiry by the inquiry official. SEC Act S.199 in conjunction with 56(1) Criminal Complaint Filed with an Inquiry Official Dated 21/09/2017
process of inquiry by the inquiry official. DAB Act S.26 Criminal Complaint Filed with an Inquiry Official Dated 05/07/2019
prospectus with the SEC Office. This case is in the process of inquiry by the inquiry official. SEC Act S.65 Criminal Complaint Filed with an Inquiry Official Dated 07/08/2020
procurement. (In case of financial institutions, specify sources of capital and loans). (b) If the manufacturing process or treatment of raw material wastes affects the environment, clarify the Company's
procurement. (In case of financial institutions, specify sources of capital and loans). (b) If the manufacturing process or treatment of raw material wastes affects the environment, clarify the Company's
Questionnaire No. Particulars Firm's Reference /Guidance Notes Description 1 Does the audit firm design and implement the risk assesment process that includes the identification of quality objectives
which is supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the