at least on a quarterly basis;5.  Modifying consideration procedures of underlying indices, management strategies, and disclosure requirements for inbound foreign ETFs to be in line with those

transfer of fiat money from the accounts opened for the benefit of clients shall comply with the principles for decentralized approval authority, multi-sign approval authority, and check and balance, in the

violation The SEC Office issues an administrative order to enforce any regulated person. The SEC Office presents the case to the competent authority. End Administrative Order Issuance Administrative Sanction

, according to their underlying assets, but at least on a quarterly basis; 5.  Modifying consideration procedures of underlying indices, management strategies, and disclosure requirements for inbound foreign

the obligor (e.g., government regulators) regarding supervisory matters should be separate from the employees that participate in taking credit rating actions or developing or modifying credit rating

Inspection Workshop ครั้งที่ 3 มี 9 หน่วยงานกำกับดูแลผู้สอบบัญชีเข้าร่วม ได้แก่ Audit Oversight Board Malaysia (AOB),  Accounting and Corporate Regulatory Authority Singapore (ACRA), Securities and Exchange

decentralized approval authority, multi-sign approval authority, and check and balance. In case of a withdrawal or transfer of fiat money at an amount from 2 million baht to not exceeding 50 million baht, digital

มหาวิทยาลัยฮาร์วาร์ด สหรัฐอเมริกา Mr. Lim Tuang Lee ประธาน IOSCO Board-level Fintech Taskforce และ Assistant Managing Director (Capital Markets) ของ Monetary Authority of Singapore (MAS) และ Ms

designated partner with the required authority and resources and take responsibility for the adequacy of firm’s procedures? 4 For firms without designated Quality Control partner, do the principals meet

capital market" ____________________________ * The SEC represents the whole organization of the SEC with three tiers of authority : The SEC Board primarily responsible for policy formulation for market