director; (2) Being able to demonstrate that the supervisor has effective system for supervision and monitoring of the securities company at the management level in matters stipulated in sub-paragraph (1) so
director; (2) Being able to demonstrate that the supervisor has effective system for supervision and monitoring of the securities company at the management level in matters stipulated in sub-paragraph (1) so
exemption from the requirement of independent director; (2) Being able to demonstrate that the supervisor has effective system for supervision and monitoring of the securities company at the management level
” hosted by the Public Company Accounting Oversight Board (“PCAOB”), to keep abreast of the evolution of auditor supervision in the international level and apply it to improve Thailand’s audit regulatory
/Investment Analyst Fundraising Market Professionals Financial Reporting and Audit Oversight Mutual Fund Cross-border Offering of Funds Business Operators Registered Persons Investment Consultant Fund
/Investment Analyst Fundraising Market Professionals Financial Reporting and Audit Oversight Mutual Fund Cross-border Offering of Funds Business Operators Registered Persons Investment Consultant Fund
. The proposal aims to promote a clear understanding and a standardized protocol for monitoring and supervision of digital asset businesses, and to reduce the necessity for case-by-case data
Entities in order to Ensure Confidence of the Investing Public ■ Supervision of Market Intermediaries ■ Inspection of Listed Companies and Market Intermediaries ■ Regulation and Law Enforcement G OA L 4
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SEC and the Securities and Futures Commission (SFC) are developing a bilateral agreement for cross-border fund offerings under the HK-TH MRF project with the main objective of facilitating mutual