addition, clients should be given more than one choice of fund, and intermediaries should follow up on clients? investments on a regular basis and keep clients informed of changes for clients? benefits
(IFA) opined that the shareholders should not approve the transaction for several reasons. First of all, it is an investment in high risk assets and the uncertainty of debt repayment could significantly
served.Investors are strongly advised to be careful and not to allow investment consultants to make trading decisions for them. Compliance unit should be immediately informed if a trading account is used without the
in the capital market sector should therefore sufficiently provide necessary resources and focus on coordination among agencies, especially exchanging information necessary for prevention and
case, investors should check the records of transaction confirmation regularly to make sure that they are properly issued by the securities companies in charge. In case of suspicious incidents
should remain focused on cyber risk prevention when using personal devices to make transactions, including keeping one’s digital assets in a private wallet. The SEC recommends that service users allow
independent financial advisor views that despite the reasonable objectives of the proposed acquisitions, NBC’s shareholders should not grant an approval because (1) the sale price of “Komchadluek” assets and
expertise should the company secretary have? A: The Securities and Exchange Act only specifies the scope of duties and responsibilities, not the qualifications, of the company secretary; the appointment of a
communication conceals irregularity, which may result in their reacting more to neutral words in KAM sections. Discussion and Implication Our findings should be of interest to standard setters, regulators, and
, adequate monitoring processes, and human resources issues. To address the deficiencies effectively, the audit firms should conduct root cause analysis to find out why their audit performance has fallen short