Bangkok, June 4, 2015 - The SEC suspended {A} and {B}, an equity investment consultant and a capital market investment consultant respectively, for failure to keep complete record of securities

the SEC and the exploration of applying these guidelines to enhance the OIC’s technology risk control supervision over regulated business operators. The event took place on 26 June 2024 at the SEC

awareness of the importance of cybersecurity plan, work system stability and data protection. Co-organized by the SEC and the regulated entities, the cyber drill activities were conducted by experts from the

investment consultants found that {A} failed to keep complete records of a high volume of client's derivatives trading orders; while {B} failed to keep complete documentation and evidence of many derivatives

the characteristics specified in the governing rules. For example: - The Hong Kong Covered Management Company is regulated by the Securities and Futures Commission of Hong Kong (SFC), which is the home

clearer, non-overlapping guidelines in line with the evolving capital market ecosystem. The collaboration seeks to ensure a well-regulated, fair, and trustworthy capital market that boosts investor

valuation companies and principal valuers, and (3) criteria for approving qualified associations or valuation professional entities as a self-regulated organisation. The consultation papers on the proposed

internal audit and regulated by other competent regulators according to the notification of the SEC. The SEC Office has the power to waive the appointment of independent director temporary or permanently

a part of financial conglomerate which has share holding structure, examination of internal audit and regulated by other competent regulators according to the notification of the SEC. The SEC Office

part of financial conglomerate which has share holding structure, examination of internal audit and regulated by other competent regulators according to the notification of the SEC. The SEC Office has