other signatory jurisdictions under a streamlined authorisation process. Fund managers using this framework will have to abide by a set of common standards (the “Standards of Qualifying CIS”) designed
landscape, and endorsement of international standards. The SEC has also laid out the strategic plan for the next three years (2019-2021) focusing on the optimum use of technologies to enhance market
capital market business personnel for 6 months, effective from June 27, 2015. *Clause 11(6) of the SEC Office Notification No. SorKhor.15/2548 Re: Approval of Investor Contacts and Standards of
products and services in line with international standards. Also, the general public can access and make use of capital market by means of fundraising and investment, as the case maybe. The strategic plan
Experience Study. The industry has maintained high standards in the area of regulation and taxation, as well as improvement in the area of sales and media. Nonetheless, there is still room for improvement in
governance, and anti-corruption. The Master Plan will set standards and propose measures for developing both the businesses and investors, creating mechanisms for driving self discipline and market discipline
) Elevate standards for the supervision of gatekeepers to prevent inappropriate conduct, and (3) Leverage technology to broaden access to financial information of small-and medium-sized listed firms
) certifying that if the auditor of such audit firm is granted an approval from the SEC Office, the audit firm shall monitor and improve the audit quality control system in compliance with the standards
characteristics; (a) a regulatory agency which has standards on governing auditor on par with international standards and recognized by the International Forum of Independent Audit Regulators (IFIAR) or the
the first refresher course relating to securities and exchange laws, relevant rules and regulations and ethics and professional standards administered by an association or a training institute