· Forms 2 Does the firm have policies and procedures for the retention of firm’s documentation for a period of time sufficient to permit those performing monitoring and review procedures to evaluate the
bar from serving as a director and executive of securities issuing companies and listed companies for a specific period.* Since {A} refused to extinguish the case by agreeing to comply with civil
inspection to evaluate its compliance with its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g. in-house, outsource, network firm? 2) How often the firm
Questionnaire A Monitoring the Firm’s Quality Management Policies and Procedures Firm's Reference /Guidance Notes Description A1 Does the whole firm perform inspection to evaluate its compliance with
) seeking benefits from investors through her job position, (2) agreeing to trade securities or derivatives on her clients? behalf and (3) failing to perform duties or providing services honestly, as
individuals and juristic persons for purchasing and selling Millcon Steel Public Company Limited ("MILL") shares in the way of colluding by agreeing with others to purchase or sell MILL shares in
evaluate the process for a rigorous review of the performance of the board, the company secretary (where such a position exists), the board’s committees and individual directors prior to being proposed for
the assessment process to evaluate the qualifications of the applicants seeking licenses to operate digital asset businesses. If an applicant is qualified, SEC will propose Minister of Finance to
imposed by the company management in several matters including audit procedures to evaluate effectiveness of internal control over small-sized gas cylinders quantity, deposits received for small-sized gas