) The Securities and Exchange Act to be amended to enable SEC to register the audit firms in the capital market and to supervise and impose sanction on an audit firm in the capital market found by SEC
standards by focusing on the quality assurance of audit firm?s internal procedures. As a result, the quality of supervision on auditor in the capital market has become well-accepted from the EU, World Bank
financial market incidents. Dr. Peng Chen, CFA who serves as Chief Executive Officer, Asia (ex-Japan) for Dimensional Fund Advisors, a world leading investment firm, Deborah A. Fuhr, a prominent ETF expert
by not using knowledge and expertise as professional.In case of {B}, the SEC received a complaint from client of a brokerage firm that {B} had sent trading orders through client's account without
? former investor contact, {B}, had sent trading orders through the client's account without record and evidence of trading orders. His misconduct caused damage to the client and the firm dismissed him from
. {B}, an investor contact and branch manager of Siam City Securities Co., Ltd., is suspended and prohibited from performing duties as securities firm executive for two months on account of trading
clients were affected by an outbreak of COVID-19, and hence postponed services of the Company due to strict preventive measures limiting access of external parties into the clients’ sites. Please be
บุคคลที่สามารถเขา้ถึงขอ้มูลภายใน (“access person”) ของผูป้ระกอบธุรกิจนายหนา้ซ้ือขายหลกัทรัพย ์การคา้หลกัทรัพย ์หรือการจดัจ าหน่ายหลกัทรัพย ์ซ่ึงมิไดจ้ ากดัเฉพาะหลกัทรพัยอ์นัเป็นตราสารแห่งหน้ี หรือหน่วย
. This will help investors access investment tokens more widely and provide businesses with more efficient fundraising channels.In the case of due diligence, an ICO portal is able to outsource only a due