example, the issuer have never been rejected any PO submissions due to suspicion in severe inappropriate behavior in the past five years.The revised rules aim to prevent non-listed companies with severe
. Nonetheless, if the staff per partner ratio or staff per manager ratio are unusually high or low, it might indicate the concern about the structure of human resources. The firms should emphasize to resolve the
will be able to operate the businesses after receiving the licenses from Minister of Finance.”If people have suspicion on investment in digital assets, please notify SEC at 1207
(effective on 16 April 2016). 9 17 (5) for the management of the REIT: (a) there shall be no reasonable suspicion that the mechanism for managing the REIT is unable to protect the rights of the unitholders or
proposing to review the regulations governing debt securities of all types and related notifications. In essence, the proposed amendments to the debt securities regulations concern the followings: (1
, otherwise, investors may lose a large amount of money. Those who have been persuaded or have suspicion, please contact SEC Help Center at 1207,” Rapee added.Those who are interested and intend to apply for
firms did not concern over significant client’s issues before accept those clients. Example 1 : There was insufficient documentation regarding client acceptance evaluation. In addition, some evaluation
such as push selling or unsuitable distribution of financial products are found as a common area of concern arises in many jurisdictions, which poses challenge to the regulators. In this view, members
or trading documents Contract, trading order, confirmation note, etc. 3 Suspicion of fraud or embezzlement by listed company’s executive(s). ● Name of executive and related person/name of company
suspicion of other possible offenses in case of EARTH’s acquisition of the legal rights over the coal mines in Indonesia. Meanwhile, the SEC has already notified the legal action under the SEA to the AMLO