repayment capability of such customer. 10 In order to follow according to the requirement in paragraph one, Derivatives broker shall follow according to the standard set out in the SEC Notification. Clause 14
repayment capability of such customer. 10In order to follow according to the requirement in paragraph one, Derivatives broker shall follow according to the standard set out in the SEC Notification. Clause 14
Commission Notification of the Securities and Exchange Commission No. KorNor. 30/2547 Re: Rules, Conditions and Procedures for Establishment and Management of Funds _____________ The supervision of securities
International Standard on Quality Control 1 (ISQC1) issued by the International Federation of Accountants (IFAC). Additionally, the firm consents audit quality inspection carrying out by inspectors of the SEC. 2
. --------------------------------------* Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities
reference. PAGE 4 Notification of the Capital Market Supervisory Board No. Tor Nor. 89/2558 Re: Rules for Management of Retail Funds, Mutual Funds for Accredited Investors, Mutual Funds for Institutional
Notification is intended to prescribe the standard for the management of retail funds, accredited investor funds, mutual funds for institutional investors, and private funds to ensure that the management
reference. Notification of the Office of the Securities and Exchange Commission No. Sor Shor. 30/2558 Re: Approval of Foreign Auditors Whereas Section 61, Section 89 and Section 199 of the Securities and
and social development, the issuer must comply with an internationally recognized standard. For example: (a) Green Bond : ASEAN Green Bond Standards (ASEAN GBS) or International Capital Market