: Relevance Date (Newest) Date (Oldest) SEC public hearing on proposed amendments to the digital asset business licensing process and draft regulations concerning creditability of digital asset business
the appraisal process? 11 How the firm’s training covers emerging issues such as new TFRSs, TASs, TSAs, Ethical Standards and other emerging issues and whether training promotes quality control ? How
executives, namely {D} and {E} as capital market personnel for six months each starting from 29 December 2015 on the ground of being negligent with regard to supervision of the company's core work systems
negligent with regard to supervision of the company?s core work systems. Regarding the share transfer case, Auracha, then an investment consultant at AEC, was found transfering shares in the client?s
the SEC Office. Work Areas Personal Data Contact Information Sensitive Data Qualification data Financial Data Verification Data Information concerning the supervision of ThaiBMA (report on trading of
, administrative orders, and administrative sanctions; 3. Information Technology Audit and Cyber Risk Supervision and inspection of information technology risk of business operators ✓ ✓ ✓ ✓ ✓ ✓ 1. Disclosure of
. Institutional investors will be a key driver to promote such implementation, while supervision of financial advisors will be strengthened on par with securities businesses in general. In addition, more emphasis
Deputy Secretary-General Tajinder Singh (second from right) to discuss international cooperation for the development and supervision of capital markets, at Hilton Hotel in Sydney Australia on 12 May 2019
Handling Procedure Samples of Documents or Evidence Matters under Supervision of Other Laws Whistleblower Inquiries Complaint Forms Complaints / Whistleblowers Matters under the SEC
A. RAP and HR Planning A.0 Risk Assessment Process for Resources element: Firm's Reference /Guidance Notes Description 1 What are the quality risks in Resources element that the firm considers as