Sort by: Relevance Date (Newest) Date (Oldest) Result of IPO Sale Reports - FIRM : FRASERS PROPERTY INDUSTRIAL REIT MANAGEMENT (THAILAND) COMPANY LIMITED Type of securities : Real Estate Investment Trust
is not continuing a relationship, which should be discontinued. 8 Does the firm have any particularly risky clients or risky industry? - Finance and Securities - Banking - Digital Assets https
for rectifying the qualifications to be affiliated with an audit firm that meets the requirement of four auditors at a minimum, from 180 days to one year. The consultation paper is available at
operational systems for this purpose, the revised regulations will come into force as from 16 February 2024. ______________________________Remarks: * Means (1) a securities firm licensed to undertake the
) The Securities and Exchange Act to be amended to enable SEC to register the audit firms in the capital market and to supervise and impose sanction on an audit firm in the capital market found by SEC
standards by focusing on the quality assurance of audit firm?s internal procedures. As a result, the quality of supervision on auditor in the capital market has become well-accepted from the EU, World Bank
financial market incidents. Dr. Peng Chen, CFA who serves as Chief Executive Officer, Asia (ex-Japan) for Dimensional Fund Advisors, a world leading investment firm, Deborah A. Fuhr, a prominent ETF expert
by not using knowledge and expertise as professional.In case of {B}, the SEC received a complaint from client of a brokerage firm that {B} had sent trading orders through client's account without
? former investor contact, {B}, had sent trading orders through the client's account without record and evidence of trading orders. His misconduct caused damage to the client and the firm dismissed him from