Derivatives Broker ​Registered Derivatives Broker   Securities Dealer​​ ​Securities Companies and Other Financial Institutions ​​Staff or Agent (individual) Acting as Investor Contact of the Company

individual director, that director should ensure the accuracy and completeness of the information disclosed by the company, including of shareholders’ information and any shareholders’ agreement

directors’ respective roles and responsibilities, linked to their individual and company performance, and provide incentives for the board to lead the company in meeting its objectives, both in the short and

resembles the international supervisory framework. The audit quality control regulatory shall be performed at both individual auditor level and firm level. In order to enhance quality and reliability of the

determine a violation and take an action on any individual or firm, the SEC would investigate and gather information, facts and evidence concerning the violation. Generally, an alleged offender may clarify or

Individual Clients (SEC Circular  SEC. Thor. 1/2547) To be filed within seven days of the following week.​ ​​Monthly Reports​ ​Unaudited Monthly Financial Statement (Form Bor.Lor. 2 & Bor.Lor. 2/1

important information and supporting evidence to SEC Complaint Center. This includes the followings; 1. Personal information of the complainant, e.g., full name, mailing address and phone number; 2. Power of

over five years per period           2.1.2 Qualification of Approved Auditor   ​​​ An auditor to be granted approval by the SEC shall possess qualifications of an individual person and of the firm to

directors and non-executive directors should support proper checks and balances to prevent unfettered power of decision and authority by any one individual, whereby:  ​​a) the majority of the board should be

-third of its maximum capacity to an​ individual client, or to a group of associated persons, in case that the buyers/end users of product/services are not the government agencies. This is not applied on