work for audit firms having quality assurance system in compliance with professional standards, the SEC regularly inspects the firm?s audit quality to uphold market fairness, ensure proper investor
will be allowed to manage REITs? non-real estate assets, providing that there must be a separation of management and compliance units while Chinese wall must also be in place. Outsourcing of the
, for failure to perform her duty in compliance with the company?s rules. From an inspection report of Krungsri Securities, the SEC further probed into the case and found that Ashiya, Onjira and Wasana
investment consultant of Krungsri Securities. In addition, the SEC suspended {D}, a former capital market investment consultant of Krungsri Securities, for failure to perform her duty in compliance with the
the issuer. Nonetheless, the issuer must maintain its qualifications and compliance with approval conditions as well as disclosure requirements all through the program; unless otherwise, the approval
regarding complying with the GIPS Standards, which would help facilitate investors in comparing the fund performance. The AIMC standard has, however, been largely in compliance with the GIPS Standards and the
strictly monitor and supervise their investment consultants to follow such requirements, the SEC may consider that they have inefficient compliance systems and may pursue further actions.?The trading volume
second line of defense personnel in the compliance and risk management functions under the “GRE‑2AT Forum for Capital Market 2026.” The forum has been organized for the second consecutive year. The opening