procedures properly covered in induction, professional training and Continuing Professional Development for all principals and staff? B12 Do these written policies and procedures cover the following general
Professional Portfolio International Ltd. Professional Portfolio International Ltd. (PPI) colluded with other alleged offenders in operating securities businesses of brokerage, investment advisory
- SECOpenData TH Home Fund Mutual Fund Private Fund Provident Fund REIT / INFRA / PROP Page Debenture Equity ESG Data Digital Asset Intermediary & Professional Intermediary https://secopendata.sec.or.th
Home Fund Mutual Fund Private Fund Provident Fund REIT / INFRA / PROP Page Debenture Equity ESG Data Digital Asset Intermediary & Professional Intermediary https://secopendata.sec.or.th/Intermediaries
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) สนับสนุนสมาคมบริษัทจดทะเบียนไทยจัดกิจกรรม TLCA CFO Professional Development Program (TLCA CFO CPD) ครั้งที่ 5/2562 ในการบรรยายเรื่อง “The
person who has authorized the management of the private fund using knowledge and competence as a professional. SEC Act S.134 paragraph 2 and paragraph 3 in conjunction with 133 paragraph 1 Criminal
professional ethics, the provisions of law relating to auditors, and the SEC regulations. Furthermore, registered auditors shall work for audit firms that have an audit quality control system in compliance with
for the audit firms to recruit and retain staff • Skilled non-CPAs professional resources in demand, including forensic experts • Offshoring of services: noted by a call participant as currently not too
of market integrity and investor protection by raising professional work standards and capabilities of both entities and individuals involved with various functions of our capital market such as
Directors’ Meeting No. 4/2019 of Inoue Rubber (Thailand) Public Company Limited on May 13 , 2019 has passed the resolution to approve an entering into a related- party transaction for providing professional