pressure to meet directly with board members on sustainability topics of mutual concern. The pressures on investors to increase their levels of engagement with companies (and also with regulators and other
, audits of revenue recognition based on the percentage of completion method, and assessments of the appropriateness of management’s use of going concern assumption. Our root cause analysis has revealed that
better results than that of previous year. This element, however, contains more key deficiencies than other ISQC1 elements and thus remains an area of key concern for the SEC. The inspection findings are
Authority ประเทศนิวซีแลนด์ และ Mr. Gerard Fitzpatrick, Senior Executive Leader จาก Australian Securities and Investments Commission (ASIC) ประเทศออสเตรเลีย
นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) และ Mr. Ian Johnston, Chief Executive, Dubai Financial Services Authority (DFSA) เมืองดูไบ สหรัฐอาหรับเอ
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
such as push selling or unsuitable distribution of financial products are found as a common area of concern arises in many jurisdictions, which poses challenge to the regulators. In this view, members
business. Similarly, private investment sector was slowdown regarding to the concern about uncertain government spending except in the electronics group that moved production base from abroad and the
perhaps contradictory regulations between jurisdictions is also an issue that should be monitored so that no regulatory vacuum is allowed to develop (i.e. issues slipping through in which no authority has