, or a client who is a provident fund or a private fund shall have prior granted a written approval [for such outsourcing], as the case may be; (b) there shall be a report on supervision of another
and financial statements audited by an auditor who is employed by an audit firm that has been inspected by the SEC*; 2. Submit half-year and annual financial statements that have been
monitored with professional investment advices. If investors encounter any solicitation to transfer money into an account of securities firm, whether or not it is the firm that investors have already opened
, the asset management firm must disclose the information to investors for investment decisions; as well as rectify such non-compliance within two months. Failure to do so may cause the asset management
Secretary-General in charge of law and enforcement as member;(4) Assistant Secretary-General in charge of listed company supervision as member; (5) Assistant Secretary-General in charge of law
supervision of corporate finance, corporate governance, market and securities businesses.Mrs. Supantanet, who was appointed Assistant Secretary-General in 2016, oversees the line of work related to fund
: .......................................................... E-mail address: ........................................................................................................................ 7. Affiliated with audit firm
their study visit. This visit featured a knowledge-sharing session on the SEC’s role in capital market regulation, including asset offering and supervision of equity, bonds, and digital assets. The