making investment decisions with confidence; being treated fairly in securities trading activities, yet the scope of SEC authority not covering risks and guarantees for losses from investment, nor
: • Investor focus • Global baseline • Sustainability scope, starting with climate • Building on existing frameworks (incl. TCFD) • The IFRS formed the International Sustainability Standards Board (ISSB) to
internal control environment. · Whether the client is aggressively concerned with maintaining the firm’s fees as low as possible. · Indications of an inappropriate limitation in the scope of work
the scope of work. - Indications that the client might be involved in any criminal activities. - The reasons for the proposed appointment of the firm and nonreappointment of the previous firm. - The
) preparation of the service agreement in respect of, for example, scope of conditions of service provision, customer’s rights, source of investment strategy; 3) availability of the appropriate personnel to
characteristics under the SEC Office Notification concerning financial advisor approval and scope of performance B.E. 2552. The SEC, therefore, revoked the financial advisor supervisor approval granting to {A}.In
example, some respondents proposed that a red list of activities be created, and the scope of Thailand Taxonomy be expanded to cover other economic activities (i.e., manufacturing and agriculture) in the
of this facilitator rules, the SEC is also proposing that the Capital Market Product Trading Services with Limited Discretion According to Clients? Pre-determined Investment Scope rules be repealed and
of the companies? annual financial statements 2015 after the auditors had issued a disclaimer and expressed a qualified opinion on the said financial statements because the scope of the audit was
regulator of the recognized ACMF member will be exempted knowledge test on products and rules and regulations in the host country and subject to the specified scope of supervision, such as performance of