. Assessment Results Anti-corruption measures The SEC continues to develop business sustainability among listed companies and intermediaries with a focus on anti-corruption by supporting them to join
from 1 January 2018 onward) - In case of using the examination results of CISA Level 1 or higher , CFA Level 1 or higher, FRM or CFP
the report of the sale results within 15 days. Summary of the procedures for securities offering Securities Approval / Filling Report of the sale results Public Offering (PO)n : share / warrants
results. CG-ROSC participants are not required to pay any expenses but to facilitate the assessment process by providing information and coordinating with related entities in their country for the World
shareholders to offer PO within two years Report the offering results to the SEC within 15 days Public Offering (PO) Secondary Public Offering (SPO) Private Placement (PP) of shares: in case of a non-listed
) Assessments of performance results of the private fund; (2) The name of the custodian; (3) Investments and performance results of the private fund; (4) Material changes in the private fund; (5) Information