contained significant improvements in the clients’ operating results – the information likely to increase the securities price of the clients’ companies. Such insider trading of securities and derivatives was
Local firms 2 International firms Big firms 3 - 8 - * 2564 Non-Big 4 Local firms1 International firms2 779 - 2,645 24.00% - 29.30% 7.94% - 21.07% * / ) *100 Signing Partner Engagement Partner EQCR
Maintenance of Capital of Mutual Fund Management Companies, Private Fund Management Companies, Securities Brokers and Dealers, and Underwriters Limited to Investment Units and Derivatives Fund
regulators and audit firms discuss initiatives to raise audit quality and market transparency in the region supervision (i.e., listed companies, brokers, dealers, asset management companies and collective
ASEAN audit regulators and audit firms discuss initiatives to raise audit quality and market transparency in the region supervision (i.e., listed companies, brokers, dealers, asset management companies
Custody of Assets of Clients by Securities Companies
Special Holiday for Securities Companies and Derivatives Business Operators
Custody of Assets of Clients by Securities Companies (No. 3)
Custody of Clients’ Assets by Securities Companies (No. 4)