term collaboration with World Bank to further strengthen audit oversight practices in the region.Audits play a crucial role in upholding the reliability of financial statements and investors? confidence
2566-2#2I-!9%*44 (website) Dec 66.xlsx Statistics of Civil Sanctions (As of 31 December 2023) Cases Persons Civil Monetary Penalty A compensation at an equal amount to the benefit received A
account of a customer; (b) profit or any other benefit resulted from derivatives transaction for the account of a customer; (c) warehouse receipt, bill of lading, or any other instruments which represent
SEC Office may announce a detailed guideline for the benefit of compliance with the requirements under this Notification. In case of having complied with such guideline, it shall be deemed that an
of benefits that the trust property is entitled to receive from the originator for the benefit of the financial instrument holders and there shall be a condition for reimbursement of the investment
reliability of personnel in the capital market business in a significant manner or [ii] a collusion or supporting such demeanors of other persons, for example, seeking or exploiting any benefit for oneself
cooperation, information sharing and suggestions from all parties for the benefit of sustainable market developments. In the bond market, the SEC amended several regulations to enhance flexibility for the
) having a reasonable ground to believe that there is or was [i] a lack of loyalty or practice on code of conduct affecting the reliability of personnel in the capital market business in a significant manner
an equal amount to the benefit received or should have been received, reimbursement of the investigative expenses incurred by the SEC, and bar from serving as a director or executive in a securities