, stronger protection for shareholder rights, whistle blower protection, and provisions to increase the independence and professionalism of the Securities and Exchange Commission (SEC). The SEC has also
, appropriate and efficient. In addition, to observe the independence of the internal audit unit, as well as to approve the appointment, transfer and dismissal of the head of the internal audit unit or any other
when they establish their private contractual relations. This corporate governance framework typically comprises elements of legislation, regulation, self-regulatory arrangements, voluntary commitments
there are no global mandatory investment standards in place, investors have autonomy on determining investment methodologies and priorities. 6. What are the differences between Red and Out of Scope? Red
Bangkok, April 30, 2014 ? The SEC is seeking public comment on revision of rules governing financial advisors (FA) to enhance more clarity of rules and promote FA independence. The proposed revision
consideration from all aspects before concluding the inspection results. The QARP composes of 6 non-practitioner members and 3 practitioner members. To retain the independence of the QARP and their opinions, the
, the SEC deems it necessary for the audit firms to be self-reliant, which always starts with an adequate supply of competent audit staff who possess thorough understanding of both accounting and auditing
encourage active co-operation between companies and employees. Securities regulators, stock exchanges, self-regulatory organisations and investor groups should continue to educate companies and the public
as DA Custodial Wallet Provider for DA issuers who provide custodial service on self-issued DA for their clients. The proposed revision would also require investment token issuers who provide custody
compliance with all relevant and applicable law and standards. (4) Review internal auditor’s independence, and approve the appointment and termination of the head of the internal audit function. Outsourcing