information different from registration statement in the filing /not implying or guaranteeing returns (excepted for projection figures), and entailing warning statements of risks. Investments Investments in
comply with applicable law and standards. Guidelines 6.1.1 The board should be aware of and understand the nature and scope of the company’s principal and substantial risks and should approve the risk
; Educating and warning investors to ensure they have sufficient knowledge for decision making and exercise discretion when being solicited to invest in unlicensed or illegal businesses. SEC and Investors Be
offence, the SEC Office may issue a written warning to the company against such improper act. Q: While under business rehabilitation by a plan administrator, is the company required to have an active
offence, the SEC Office may issue a written warning to the company against such improper act. Q: While under business rehabilitation by a plan administrator, is the company required to have an active
-existing facts. 6. Complete disclosure of information in accordance with the prescribed form. 7. Not being in default om principal or interests of any debt securities or in default on a loan payment. 8
reports to the SEC/ SET. 3. The directors and executives shall be listed on the database of directors and executives of the securities issuing companies. 4. Not being in default on principal or interests of
business. 7. Not being in default om principal or interests of any debt securities or in default on a loan payment. 8. Not being in breach of the terms and conditions of the debt securities. 9. Features and
required to observe the following : 1 . NC or NCR ≤ 1 . 5 times of minimum requirement ( early warning level ) that is 1 . 1 For the case of securities company operating only securities or
having other interest which may be in conflict with the best interest of the business or having benefits transferred from the business. 7. Not being in default om principal or interests of any debt