registration statement. B. Advisers and Other Parties Provide the names and addresses of a. the issuer's principal bankers to the extent the issuer has a continuing relationship with such entities; b. sponsor
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to specify the extent and procedure of outsource function related to
principal bankers to the extent the issuer has a continuing relationship with such entities; b. sponsor for listing or issue manager to the offer; c. underwriter to the offer; d. legal adviser to the offer; e
violators of the SEA.{A}'s actions were considered as serious performance deficiency by willfully imparting false statement and concealing information which should have been stated in the documents filed with
addition, there is no reasonable ground to believe that the applicant has any deficiency or is not appropriate regarding control and sound business conduct; (3) being able to maintain capital funds and set
any ground to believe that there is a deficiency or inappropriateness in control and proper operation of the business; (5) procure necessary resources and a sufficient number of personnel with expertise
into account risks of client and technical competency and level of relevant experience of audit staff. Meanwhile, deficiency was found on engagement performance (EP) with lowest average score, resulted