Facebook Page ชื่อ Communicate stock news : Unlicensed securities and derivatives business (Disclosure Date : 13/12/2023)
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and special investigation against possible contravention or malpractice ë Handle complaints against misconduct ë Set approval standards to ensure that related persons are fit and proper ë Set standards
creation and dissemination of investment scam alerts via various channels of the SEC and news media outlets. The SEC receives support from both public and private sectors to effectively communicate these
that it is aware of the applicable independence, integrity, and objectivity rules. 5 Does the firm communicate its policies for independence to its personnel? If yes, describe how the firm communicates
, integrity, and objectivity rules. 5 Does the firm communicate its policies for independence to its personnel? If yes, describe how the firm communicates its policies? Do professionals have access to guidance
as the "Hot Line" to handle public inquiries in certain circumstances. In 2007, the SEC Help Center received 2,219 inquiries and 378 complaints. The most frequent issues of complaint were those in
company’s operations. Use language that will resonate with the company, avoiding jargon or acronyms. 2. Be clear. Early in the letter, communicate the action you are requesting. Many letters build the case
, including the component auditors, to clearly communicate with component auditors about the scope and timing of their work and findings, and to obtain sufficient appropriate audit evidence regarding the