SEC has ordered THL to arrange to have a special audit by the SEC approved auditor under Big Four firms on doubtful management and internal control, appropriateness on entering into transactions with
to the Secretariat of the Cabinet for publishing in the Royal Gazette. Therefore, any mutual fund management company intending to establish property fund offering investment units to the public may
: (1) arrange to have a unit or personnel to be responsible for receiving and handling the customer complaint; (2) arrange to have regulation in writing which establishes procedures for receiving and
providing services to customers, the derivatives advisor shall arrange to have an agreement in writing relating to the settlement of disputes by arbitration organized by the Office as specified in the
information to PVD members; (2) To establish liquidity risk management policy for PVD: Requiring AMC to have liquidity risk management policy and tools (LMTs) for PVD, similar to the LMTs guidelines
AMLO, the SEC considers it necessary to establish requirements governing the risk management systems of digital asset business operators, ensuring that the operators have information accompanying all
securities dealing which is not limited to debt instruments. Clause 2 A securities company should arrange a risk management system according to the following guidelines: (1) determining a policy and an