and underwriting of investment units and securities borrowing and lending. This is to ensure sufficient information for monitoring and examining safe-keeping of client assets. The consultation paper is
Monitoring on Financial Report of Business in Capital Market Related Web Links SHARE : For More Information ContactUs Audit Oversight Department Tel. +66-2263-6097 / +66-2263-6096 Financial Reporting
> Management of Mutual Fund > Authority of the SEC Regulations SHARE : Detail Content Management of Mutual Fund 1. Authority of the SEC To ensure that the management of a mutual fund is in accordance with
> Management of Mutual Fund > Authority of the SEC Regulations SHARE : Detail Content Management of Mutual Fund 1. Authority of the SEC To ensure that the management of a mutual fund is in accordance with
are different from REIT regulations. For example, the real estate-backed ICO currently lacks a mechanism for monitoring and overseeing the management of assets and for protecting the interest of
(Unofficial Translation) 1 Licensing Manual: Application for Approval of Capital Market Auditor Authority: the Office of the Securities and Exchange Commission (public agency) Rules, procedures and
Authority ประเทศนิวซีแลนด์ และ Mr. Gerard Fitzpatrick, Senior Executive Leader จาก Australian Securities and Investments Commission (ASIC) ประเทศออสเตรเลีย
นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) และ Mr. Ian Johnston, Chief Executive, Dubai Financial Services Authority (DFSA) เมืองดูไบ สหรัฐอาหรับเอ
Participants. TERMS For the purposes of the IOSCO CRA Code:5 under common control with another entity. performs analytical functions that are necessary for the issuing or monitoring of a credit rating or
transfer of fiat money from the accounts opened for the benefit of clients shall comply with the principles for decentralized approval authority, multi-sign approval authority, and check and balance, in the