auditor, which impose requirements for information technology governance and auditing of audit firms by IT specialists to ensure that risk management in the use of information technology in audit firms
insurance are combined, at least under a common holding company. There is little guidance on how such financial conglomerates should be overseen or regulated beyond general requirements to separate certain
Re: Initial and Maintenance Margin Requirements for Derivatives Trading in Derivatives Exchange
Initial and Maintenance Margin Requirements for Derivatives Trading in Derivatives Exchange
Additional Requirements Relating to the Issuance and Offer for Sale of Depository Receipts
Re: Requirements Related to Reporting of Acquisition and Disposal of Securities
Re: Exemption from the Requirements to Submit Registration Statements for the Offer for Sale of Debt Securities
Advisors are Broker/Dealers. • Broker/dealers must obey “suitability” standard of conduct but not “fiduciary duty” • Broker/dealers are regulated by FINRA REGULATORY REQUIREMENTS Provide regulator with
public in Thailand: (a) the Hong Kong Covered Fund shall meet the eligibility requirements in accordance with this circular and comply with all of the applicable requirements set out in this circular (see
Acting in Concert as a Result of the Nature of a Relationship or Behaviour and Requirements Under Sections 246 and 247 (No. 2)