involved in preparing financial reports understand their roles and responsibilities relevant to the quality of the financial reports. Due to the in-depth understanding of both the nature of their business
operators to adopt this suitability test to help improve service quality and better fulfill the investor demands,? Duangmon added.
Ms. Ruenvadee Suwanmongkol, SEC Secretary-General, stated that SEC encourages intermediaries in the capital market, both in securities business and derivatives business, to fulfill the so-called
Commission B.E. 2535 (1992) and the Notification of the Capital Market Supervisory Board. Additionally, they are obligated to fulfill duties outlined in the bondholders’ representative appointment agreement
investment analyst by a regulator in an ASEAN country which is accepted by the SEC Office.1 1 an ASEAN country which is accepted by the SEC Office means a signatory to the Memorandum of Understanding on the
requires that the operatives are thoroughly acknowledged and of understanding in their roles and the limits of their respective power.SEC and the aforementioned five state departments have partnered and
Cryptocurrency is a financial innovation that is exposed to high volatility. Investment in this digital asset thus requires knowledge and understanding and a risk profile that is not so sensitive
, the SEC deems it necessary for the audit firms to be self-reliant, which always starts with an adequate supply of competent audit staff who possess thorough understanding of both accounting and auditing
Tackling Fracking: Collaboration with Company Experts Brings New Understanding to Risks .................... 29 Escalation Strategies: The Council of Institutional Investors’ Ignored Majority Votes
otherwise defined herein, all capitalised terms shall have the meanings given to them in (i) the Memorandum of Understanding (MoU) between the Securities and Futures Commission of Hong Kong (SFC) and the