Exchange Commission of Cambodia, and executives from the Cambodian Stock Exchange and securities companies during their visit to study the scope of work related to depository receipt (DR) and share views
Bangkok, June 2, 2014 ? The SEC notified Professional Waste Technology (1999) Plc. (PRO) to rectify its Q1-3/2012 financial statements due to limitation on scope of review imposed by PRO management
arrange for the branch office to have a manager appointed by the head office to manage the operation and personnel of the branch office within the permitted scope of services. Clause 10. The online branch
the said Act prohibits any securities company from taking purchase orders or sales orders from customers outside its head office or branch office premises, except the Office prescribes otherwise
Exchange Commission Example 3 : Risk assessment did not cover significant issues such as the business background of the board and shareholders, indicator of limited scope, the engagement team’s competency
shall comply with the regulations under Chapter 7; (8) capital market product trading service with limited discretion according to clients’ pre-determined investment scope shall comply with the
, dates, time, and scope of services. Such report shall be kept at the intermediary’s head office for at least five years as from the last day of the calendar year when the services thereof are provided
, dates, time, and scope of services. Such report shall be kept at the intermediary’s head office for at least five years as from the last day of the calendar year when the services thereof are provided
operating system that is appropriate for servicing customers and is consistent with practices set out under the rules prescribed by the law governing securities and exchange, and that its head office is able
established, the operating system that is appropriate for servicing customers and is consistent with practices set out under the rules prescribed by the law governing securities and exchange, and that its head