inspection findings related to the audits of public companies around the world. The findings in the audits on major financial institutions were also forwarded to the Financial Stability Board (FSB) as
companies are instructed to comply with the Guidelines for Prevention and Control of the Novel Coronavirus Disease 2019 (COVID-19) in Case of Holding Meetings, Seminars or Other Activities of Similar Nature
the Association of Securities Companies (ASCO), regarding clients’ short selling transactions. The SET agreed that such review should be conducted in alignment with the current contexts and to ensure
digital asset dealer.Compared to securities business, digital asset businesses have not yet expanded into digital asset advisory service and digital asset fund management. Earlier, securities companies
been implementing several measures for preparing market participants for the amended rules. More emphasis is on sufficient and reliable disclosure of information by issuing companies and financial
business service as a channel for money laundering and terrorist financing such as requiring securities business operator (securities firms and asset management companies) to learn of client?s identity, a so
for a number of asset management firms, we can provide information on return comparison and investment advice suitable for investors? profiles. Securities companies also serve investors with need to
evidence, complaints from 10 securities firms asking for legal actions against a number of persons, allegedly deceiving and defrauding the companies of the securities trading money, causing damage to the
, particularly transaction payment rules that specify direct payments to securities firms only, and in case of check payments, they must be endorsed to the securities companies. Transferring money to personal bank