reporting such incidents to the SEC; (4) To adjust the applicable scope for investment advisory business operators to ensure that they will be able to implement sufficient controls for managing
violations. In following this manual, if any wrongdoings are found, the business operators are encouraged to report the cases to the SEC and verify that sufficient risk management and control systems have
knowledge, skills and attitudes about financial management, covering the setting of appropriate financial goals, having adequate savings and protection (via insurance) in times of emergency, having sufficient
rectified financial statements. However, the SEC found that NRF has sufficient time to complete the rectification of the financial statements within the prescribed deadline. Since financial statements are
same standard and clearer warning presentation regarding investment risks. This is to ensure that investors have sufficient information regarding risks or limitations prior to using services or making
committees to obtain sufficient qualitative information from audit firms to support the selection of suitable auditors for the size and complexity of their business, ensure transparency, and promote the
(CEO) may hold the position at only one company while director may hold the position at up to five companies, etc. This is to allow executives of intermediaries to allocate sufficient time to efficiently
related to trading, depositing and withdrawing digital assets. Meanwhile, the company may consider accepting new clients as deemed appropriate and sufficient by taking into account the characteristics, size
SEC Secretary-General Ruenvadee Suwanmongkol said: “Giving sufficient useful information on debt securities to investors and the general public is one of our continuing priorities. On 27 December
statement / annual report (Form 56-1 One Report). This is to ensure that investors can access material information that is accurate and sufficient for investment decision making. In any case, the SEC