Signatories will issue a handbook in due course to provide guidance to fund managers on various administrative and procedural matters including the application procedures, the use of local distributors in the
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
In addition, there will be three director-level switches, namely: 1. Mrs. Sureerut Suradecha, from Director of the Sales Conduct Supervision Department to Director of the Investment Management
been [i] approved to establish or [ii] registered or [iii] managed by CIS operator being under the supervision of such agency. Clause 3 This Notification shall be applicable to a securities company
progresses in the areas of market supervision and development, such as quality enhancement of IPO issuers and listed companies, legal enforcement in various cases, and improved transparency and fairness in
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
Deputy Secretary-General Tajinder Singh (second from right) to discuss international cooperation for the development and supervision of capital markets, at Hilton Hotel in Sydney Australia on 12 May 2019