be a job description explaining duties and responsibilities of each unit and position. 3. There should be a clear segregation between the unit with investment management function and the unit with back

brokerage firms? marketing officers to address the issues of compensation policy and job mobility of marketing officers. Earlier today, marketing officer representatives submitted a petition to the SEC in

well as submit the special audit report to the SEC by October 7, 2013. Mill later requested the SEC for deadline extension to allow sufficient time for auditor to do the job. The SEC therefore granted an

27 The REIT manager shall prepare its financial statement in accordance with financial reporting standards as stipulated by the law on accounting profession 2 and submit such financial statement to the

, Thailand, at the Summit Conference of Domestic Credit Rating Agencies, Bangkok, May 15, 2008 CFA: A Global Passport to the Investment Profession by Mr. Thirachai Phuvanatnaranubala, Secretary-General

approval criteria for auditors in the capital market but certain qualifications will be relaxed such as job title, audit experience and experience in giving opinion for financial reports.The consultation

derivatives exchange; “derivatives clearing house” means an entity licensed to operate business as a derivatives clearing house; “personnel in derivatives business” means: (1) a person who assumes a job for the

, focused on discussions under the theme, “Expanding Funding Opportunities for Artists through Copyright Valuation and Converting Copyrights into Digital Assets,” to promote Initial Coin Offering (ICO) in the

The SEC is hosting the Asia Pacific Takeovers Regulators Conference 2019, an annual platform for expanding cooperative network within the region and sharing views on regulatory frameworks and

and effective oversight of the accounting and audit profession. (ii) Securities commissions and stock exchanges should require listed companies to disclose on a timely basis any change of auditors and