be considered the undertaking of securities, derivatives, and digital asset businesses without licenses, including the services beyond the scope of granted licenses*, and may be subject to

control and credibility of financial reports. The sufficiency of internal control system includes having in place (1) clear scope of authority and approval procedures in writing, (2) independence of core

) receive reasonable litigation expenses from the company as ordered by the court. Meanwhile, directors and management of companies in the capital market shall be provided with a clearer scope of duties and

and inventory register in most of the items while the company could not provide clear explanation about cause of such discrepancy. Chanunkorn, however, did not expand his audit scope, assess possible

Notification concerning financial advisor approval and scope of performance which specifies that financial advisor supervisor must be responsible and perform duties with prudence and care in compliance with laws

conditions must be put in place. “This regulatory amendment will open up opportunities for interested entities to set up and manage a high yield bond more flexibly within a permissible scope. Once

, officer or employee of that exchange or center;            (6)  extends scope of prohibitions against unfair practices to cover trading of securities in all trading platforms or venues. The consultant paper

of this facilitator rules, the SEC is also proposing that the Capital Market Product Trading Services with Limited Discretion According to Clients? Pre-determined Investment Scope rules be repealed and

ACL Securities Co., Ltd.were considered a contravention of the SEC Office Notification concerning financial advisor approval and scope of business which specifies that financial advisor supervisor must

2023 to introduce and clarify the scope and expectations of the Guidelines. On 30th January 2023, the SEC in collaboration with the UK Government and CDP will host a webinar on the topic, “Improved