control system which is sufficient and reliable for supervising its auditors’ work to comply with the professional standards on a continuous basis. Such audit quality control system complies with
considered a fundamental duty that listed companies should adhere to under the law. The SEC has therefore amended the relevant regulations to repeal the filing fee reduction for the annual registration
, liability of listed company will rise.??Investment analysts must adhere to professional standards and exercise due care when giving advice or opinion with impact on investment decision. Their opinion should
seller were deemed as failure to perform duties with honesty and to adhere to the professional ethics and standard of conducts for the capital market personnel. The said actions were in violation of Clause
upon the recommendation of the SEC has the power to specify conditions with which the license holder shall be required to comply in the undertaking of the securities business. In cases where there has
Section 95 shall not apply to a person receiving approval under this Section. However, such person shall comply with the regulations specified by the Office.
investment advisory company, failed to comply with the rules, conditions and procedures as specified in the notification by failing to maintain capital adequacy in accordance with the rules, conditions and
Bitazza Company Limited Between June 22, 2022 and January 30, 2024, Bitazza Company Limited, a digital asset broker, failed to comply with the rules, conditions and procedures as specified in the