securities as well as rules on securities borrowing and lending, investment analysis and giving advice, submissions of clients? transaction confirmations, service in high risk or complex financial products and
and underwriters whose licenses are limited to investment units (LBDU operators). Under the proposal, the capital requirements imposed on those business operators will better reflect operational risk
alternative for provident fund? for the provident fund committees. The seminar schedule is set for two rounds on May 28 and June 25, 2014 from 9.00 ? 12.00 hrs. at 1601 meeting room, SEC Office on Viphavadi
ongoing focus at the SEC, and the fundamental way to achieve such objective is to create and promote a well-balanced ecosystem for financial reporting. Apart from promoting and developing the audit quality
............................................................................................................................................................................. 59 [ 1 ] We do have to acknowledge that, for many companies, this is a challenge. The business environment is changing at an ever-faster pace. The “topple” rate, a measure of how rapidly market-leading
The SEC supervises intermediaries? efficiency with an emphasis on risk management, suitable business model and risk profile of each securities house.? SEC Assistant Secretary-General Paralee
Declaration Under the ESG Declaration, shared action priorities are set: 1. Governance: Ensure good corporate governance and effective oversight at the board level, with clear accountability and responsibility
Office of Securities and Exchange Commission No. OrThor. 6/2549 Re: Guidelines for Preparing a Risk Disclosure Statement for Futures Trading. Clause 21 of the Notification of the Office of Securities and
Exchange Commission No. OrThor. 6/2549 Re: Guidelines for Preparing a Risk Disclosure Statement for Futures Trading. Clause 21 of the Notification of the Office of Securities and Exchange Commission No