SHARE : SEC receives excellent score in the Corruption Risk Management Systems Assessment 2023 and higher score in the Integrity and Transparency Assessment 2024 Friday 2 August 2024 | No. 159 / 2024

environmental responsibilities, using a report framework that is proportionate to the company’s size and complexity and meets domestic and international standards. The company can disclose this information in the

deficiencies effectively because they took on audit engagements in excessive quantity and complexity beyond the capability of experienced personnel to perform quality audit work in accordance with the

mind in particular the size and complexity of the signatory, the nature of the risks and challenges it faces, and the investment objectives of the signatory or its clients. 7. Whilst clients and

appointment of such committees depends on the necessity, appropriateness, and complexity of the business. A small company may choose to appoint an ad hoc committee instead to consider a matter on the agenda. A

and withdrawing digital assets. Meanwhile, the company may consider accepting new clients as deemed appropriate and sufficient by taking into account the characteristics, size, volume, complexity and

and oversight that suitably apply to licensed corporations of different risk levels as well as diverse natures of business operation, organizational structure, business size, and complexity of the used

Complex Instruments Type 2 is allowed to give advice to investors about capital market products with non-complex features and investment units or debt securities with high risks or complexity, e.g

Governance As an agency with missions for promoting, developing and supervising the capital market, the SEC strives to ensure transparency and credibility of our own operation as well as fairness to all

confidence in service quality? (e.g. firm's SOQM, firm's strategy and governance & leadership, transparency report, firm inspection results, non-compliance with law and regulation and responses to emerging