audit reports to be more appropriate for the risk level of small business operators and low-risk operators, with measures that allow the SEC to monitor the business operators’ risks in the event of
Unit would be required to closely monitor advertisements and report to the Board of Directors every month and submit such monthly reports to the SEC on a quarterly basis. The consultation paper is
website so that investors will be able to access information and monitor the operation of the business operators before making a decision to use their services. _________________
website so that investors will be able to access information and monitor the operation of the business operators before making a decision to use their services
of US financial institutions has not directly affected Thai business. Meanwhile, the SEC and relevant authorities have been working closely together to monitor the situation and potential impacts on
strictly monitor and supervise their investment consultants to follow such requirements, the SEC may consider that they have inefficient compliance systems and may pursue further actions.?The trading volume
trust auditors will help investors monitor movements of trust unitholding and understand the overall status of insiders’ interests. SEC therefore requires directors and executive of trust managers and
governance frame- work. For instance, in Asia the prevalence of controlling shareholders might require more focus on independence of the board to monitor the management and effective protection of minority