subsidiary and listed company, which was deemed dishonest act causing damage to GGC. They committed the offense with nine associates who were raw material distributors, namely (3) Anatta Green Co., Ltd

person who has authorized the management of the private fund using knowledge and competence as a professional. SEC Act S.134 paragraph 2 and paragraph 3 in conjunction with 133 paragraph 1 Criminal

experience with relevant regulatory or reporting requirements, or the ability to gain the necessary skills and knowledge effectively; · The firm has sufficient personnel with the necessary competence and

turnover in busy season? 4 How does the firm address concerns regarding the competence and capabilities of engagement team members, including ensuring they have sufficient time to perform their

relevant regulatory or reporting requirements, or the ability to gain the necessary skills and knowledge effectively; - The firm has sufficient personnel with the necessary competence and capabilities

, please describe 2 How the firm’s job evaluation / appraisal process works? How often job evaluation made? 3 Does the firm’s appraisal process gives due recognition and reward to competence, compliance with

management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the

management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the

severity and any delays in resolving them would reflect poorly on the ability of firm leaders to discharge their responsibilities successfully, resulting in the SEC lowering the score of their TSQC1 element

competence of investment in a variety of  products and enhancing intermediaries? competitiveness in preparation for the BOT?s Capital Account Liberalization Plan, the SEC has promoted dissemination of