efficiency and security 3. Having a complete process of client contact and services in the five steps as follows: 1) exploring and understanding customers 2) constructing an
efficiency and security 3. Having a complete process of client contact and services in the five steps as follows: 1) exploring and understanding customers 2) constructing an
SEC initiated the regulatory guillotine scheme with the key objectives of streamlining procedures, processes and documents required to be submitted to SEC and revising or repealing the existing
material effect on the issuer’s financial position. Disclose such information that the issuer believes is necessary for an understanding of these arrangements and their material impact on the issuer’s
comments on the proposed rules for data submission to the SEC Office by digital asset business operators and initial coin offering (ICO) portals. The proposal aims to promote a clear understanding and a
asset business operators shall seek approval from two authorized persons. In case of a withdrawal or transfer at an amount of 50 million baht or more, another independent authorized person is required to
asset management companies are already required to prepare and disclose to the unitholders. In drafting the regulations, the SEC took into account the feedbacks received from the business operators during
asset management companies are already required to prepare and disclose to the unitholders. In drafting the regulations, the SEC took into account the feedbacks received from the business operators during
designated partner with the required authority and resources and take responsibility for the adequacy of firm’s procedures? 4 For firms without designated Quality Control partner, do the principals meet
from insufficient involvement of engagement partners and engagement quality control reviewers (EQCRs) and incomplete audit manuals as required by quality control standard. Findings by respective average