instance, of such information, a clear text which states that “fund-raising businesses are non-profit social enterprise”, as well as the information on the business, program details, and performance report

client assets for personal gains by having his clients transferred payment for subscription of mutual fund investment units as well as their deposits into his own account. At the time of his wrongdoing

area of capital market and will thus alleviate the shortage of audit personnel as well as strengthen audit firms? stability. In addition, the SEC and FAP agreed to develop a curriculum for listed

Diligence (KYC/CDD) as well as client activity oversight systems. Additionally, the SEC is in the process of submitting the? case for consideration of the Criminal Fining Committee.During a routine inspection

regulators from eight ASEAN countries, Hong Kong and China, as well as the regional and global leadership of the Global Public Policy Committee (GPPC) audit firms . The AARG members comprise Singapore?s ACRA

the development phase of audit regulation, as well as thematic inspections suitable for countries with more established audit oversight programmes.Comments on the goal of 25% reduction: Mr Kenneth Yap

risk management system for unit selling and purchasing was defective, and the internal audit and internal control systems as well as the compliance system were inefficient. Besides, the bank failed to

until July 31, 2014.The Project was launched to raise awareness and accessibility to capital market among business operators in areas of research, development, science, technology and innovation as well

qualified opinion as well as appointment of independent directors who have already been appointed for more than 3 terms or 9 years. Besides, progress on anti-corruption policy will also be monitored for the

Bangkok, May 2, 2013 - The SEC disclosed inappropriate behavior as well as imposed suspension on three investment consultants: (1) {A} of Bualuang Securities Plc. for two months; (2) {B} of RHB OSK