supporting documents via electronic system (OFAM) without the requirement for hardcopy submission to SEC; (5) Improving guidelines for supervising compliance of securities brokers and dealers of non
Bangkok, 17 May 2018 ? The SEC is seeking public comments on the principles and draft regulations under the Digital Asset Business Law to lay out guidelines for supervising offering of digital tokens
international organization established to promote collaboration between independent organizations supervising auditors and also a member of ASEAN Audit Regulators Group. In term of improvement on auditor
, Paris, former Director of the London School of Economics, will share his experience in supervising financial institutions in Europe and Euro zone crisis and solutions on the topic of Capital Markets
Additional Rules for Proprietary Trading of Securities Companies __________________________ Division 1 Rules on Investment _______________ Clause 7 An operating system supervising the proprietary trading of a
imposed by the State or an authorized agency in supervising derivatives trading. O yes (please specify in detail) O no 2.4 Please summarize the rules which the State or an authorized derivatives supervision
conducting derivatives business as a derivatives dealer imposed by the State or an authorized agency in supervising derivatives trading. O yes (please specify in detail) O no 2.4 Please summarize the rules
mutual funds’ assets; (f) Systems for preventing conflicts of interest, and for safekeeping of confidential information of mutual funds; (g) Systems for supervising the valuation of mutual funds’ invested