1.5 Where an Institutional Investor outsources its stewardship duties and responsibilities, the Institutional Investor should monitor the discharge of these duties and responsibilities to ensure that
Bangkok, March 25, 2015 ? Equity private placement deals of listed companies have been significantly increased recently while the existing rules do not cover certain circumstances that might be
, report or relevant document to the SEC Office within appropriate period, whether general or case-by-case basis without excessive burden to the intermediary , in order to monitor the compliance with this
surveillance system that was not circumspect enough to warn Bitkub to immediately realize a transaction that might be a price manipulation. DAB Act S.30 Settlement Committee Meeting No. 7/2021 Settlement
, they might have identified and assessed such risks but then failed to performed further audit procedures whose nature, timing, and extent are responsive to those assessed risks. Assessing the risks of
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regulations ë Monitor submission of reporting requirements and information disclosure to assure a sound financial condition and capital adequacy according to rules and regulations ë Conduct routine inspection
display. Related News SEC News No records to display. Last Updated 30 December 2022 Last Reviewed 30 December 2022
display. Related News SEC News No records to display. Last Updated 30 December 2022 Last Reviewed 30 December 2022