supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the aforesaid provision
SEC Secretary-General Rapee Sucharitkul revealed that “independence of the auditor is a key factor in establishing the reliability of the financial reports. When the international standards on this
knowledge and experience in reviewing the reliability the financial statements of the Company and their experience in auditing financial statements. 9.3 Selection and appointment of directors and chief
trust)—may be managed by entities other than asset management companies (CIS operators). These entities are, however, supervised by foreign securities regulators that are ordinary members of IOSCO
supervised in response to the changing scenarios to enhance investors’ trust and confidence. In this connection, the SEC sets priorities for policy measures, developmental and supervisory, that can keep pace
possesses strong financial position and reliability. It is, therefore, deemed necessary to determine the minimum paid-up registered capital of such person.
______________________________________________________________________ Remark: The rationale for issuing this Notification is to ensure that the person granted a license to be derivatives broker possesses strong financial position and reliability. It is, therefore
issuing this Notification is to ensure that the person granted a license to be derivatives broker possesses strong financial position and reliability. It is, therefore, deemed necessary to determine the
financial statements on cost of sales and inventories which revealed lack of efficiency and reliability of AIE internal control system. The auditor was thus unable to gather sufficient evidence for such
The SEC’s policy is to strengthen the oversight of digital asset business operators with a focus on continued quality development and investor protection reliability of such business operators. This