Net Profit Your Responsibility* 1. 2. 3. 4. * Signing Partner, Engagement Partner, Engagement Quality Control Reviewer and etc. 4. Registration with an audit oversight authority 4.1 Are you currently a
Confidential information CRAs should maintain in confidence all non-public information communicated to them by any issuer, or its agents, under the terms of a confidentiality agreement or otherwise under a
supervision of securities business in the category of management of other persons’ funds, whether it be the mutual fund or private fund management, has the common objective to protect and maintain the best
securities business in the category of management of other persons’ funds, whether it be the mutual fund or private fund management, has the common objective to protect and maintain the best interest of
business in the category of management of other persons’ funds, whether it be the mutual fund or private fund management, has the common objective to protect and maintain the best interest of investors based
addition, there is no reasonable ground to believe that the applicant has any deficiency or is not appropriate regarding control and sound business conduct; (3) being able to maintain capital funds and set
Bangkok, December 12, 2014 ? The SEC is seeking public comment on proposed revisions of capital requirement for asset management companies to maintain adequate minimum capital requirement for
(2018), which has become effective since 14 May 2018, stipulates that the SEC shall be the main regulator for digital token offering and undertaking of digital asset businesses with the authority to issue
the Notification of the Office of the Securities and Commission; (10)1 repealed. Clause 2 1 A derivatives broker shall maintain its net capital of not less than fifteen million baht and [net capital
Office of the Securities and Commission; (10)1 repealed. Clause 21 A derivatives broker shall maintain its net capital of not less than fifteen million baht and [net capital ratio] of not less than seven