เดียวกัน รวมทั้งกระบวนการขาย (“sales process”) ที่มี ประสิทธิภาพซึ่งจะช่วยป้องกันการขาย product ทีไ่ม่เหมาะสมหรือผิดประเภทกับผู้ลงทุน (“mis-selling”) โดยผู้ที่เก่ียวข้องในระบบทั้งหมดไม่ว่าจะเป็นผู้ออก
investors, particularly asset management companies (AMCs), are necessary and important stakeholders in the sustainable development process. They serve as intermediaries helping to unlock the value and as a
starts its operation; (4) not being ordered by the Capital Market Supervisory Board or the Office to restrict its business expansion or cease its operation, or in the process of rectifying its operation by
starts its operation; (4) not being ordered by the Capital Market Supervisory Board or the Office to restrict its business expansion or cease its operation, or in the process of rectifying its operation by
to restrict its business expansion or cease its operation, or in the process of rectifying its operation by the order of the Capital Market Supervisory Board or the Office under Section 141, Section
companies need updating. 2. Political Environments Mandatory rotation of audit firms : Introduces huge numbers of audits by ‘new’ auditors, and the tendering process is taking up a lot of the auditors
The Securities and Exchange Commission (SEC) Short selling is a mechanism that enhances market efficiency and is part of the price discovery process. To make a short selling transaction, investor
performed properly in the client acceptance process; • Evaluating whether audit files are archived timely; • Monitoring if staff’s performance reflects audit quality; • Evaluating whether training courses are
suite of sector specific eligibility Criteria. The parent standard covers the certification process and pre- and post-issuance requirements for all certified bonds, regardless of the nature of the capital
Renaissance Fund Management LTD. This case is in the process of investigation by the inquiry official. SEC Act S.97 Criminal Complaint Filed with an Inquiry Official Dated 01/11/2023