written documentation regarding scope of monitoring and the basis for selecting an engagement file for reviewing. The SEC found the audit firm did not select high risk engagements, such as listed companies
Prescribing Natures of Giving Advice to Public Not Being Regarded as Engagement in the Securities Business of Investment Advisory Service
Re: Determination of the Definitions of Institutional Investor, Ultra-high Net Worth Investor and High Net Worth Investor
high-growth economies of Laos, Myanmar, and Cambodia. Furthermore, we established a regulatory framework to support the offering of unit trusts for funds investing in ASEAN through the ASEAN Collective
-construction projects Only in case of high-value, time-consuming projects or assignments such as building or ship construction projects, disclose the values of the ongoing projects as of the most recent date
anticipated) using recognized methodologies and frameworks, such as NZIF, SBTi and TSP for setting, assessing, reporting, and verifying performance. Set decarbonization targets for all high-emitting sectors
operation and engagement in new activities/ services Clearing house, derivatives clearing house, securities depository center and securities registrar ë Grant license, approve regulations, examine business
Mai and nearby provinces, with a total of 1,100 students. This marks the first time of such activity, travelling and providing knowledge and experiences, with direct involvement by SEC, in
anti-corruption measures, e.g., refusal to pay bribery, no involvement in corruptive attempts and sanctions against those who do, as well as communication and staff training with respect to anti