, both listed companies and audit firms ought to put in place proper work processes and internal controls to ensure the desired outcomes. Listed companies need a suitable internal control system and a well

responsible for the management of foreign collective investment scheme; “home regulator” means a regulator that has the authority to supervise foreign collective investment scheme or a CIS operator; “brokerage

Redemption Date at their applicable Make-Whole Redemption Amount. In addition, upon the occurrence of a Change of Control 2 the Noteholder of a Note of a Series may require the Issuer to redeem such Note at

(Oldest) SEC Search /solr/secweb/select?q= electronic possession OR " electronic possession " OR " electrical ownership " OR " electrical control" OR "digital ownership " OR "digital control"&wt=json&indent

the Capital Market on October 1, 2010, the SEC has continuously performed both firm-level inspections and engagement inspections of the auditors under its authority with major concerns and findings from

Authority ประเทศนิวซีแลนด์ และ Mr. Gerard Fitzpatrick, Senior Executive Leader จาก Australian Securities and Investments Commission (ASIC) ประเทศออสเตรเลีย 

นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) และ Mr. Ian Johnston, Chief Executive, Dubai Financial Services Authority (DFSA) เมืองดูไบ สหรัฐอาหรับเอ

transfer of fiat money from the accounts opened for the benefit of clients shall comply with the principles for decentralized approval authority, multi-sign approval authority, and check and balance, in the

PowerPoint Presentation Procedure for Administrative Action and Appeal Filing Taking legal action(s) Administrative Action Civil Sanction Criminal Action Considering whether to constitute law

that are appropriate to exclude, such as water utilities and independent power and renewable electricity producer industries. Banks should describe which industries they include. Climate transition plan