>   Management of Mutual Fund >   Authority of the SEC Regulations SHARE : Detail Content ​​Management of Mutual Fund 1. Authority of the SEC To ensure that the management of a mutual fund is in accordance with

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

--two of its subsidiaries are also in the top ten--as well as one of three the largest banks, and the national airline and the airport authority. The state’s direct holdings in these The market has

of interest (including, but not limited to, those conflicts of interest identified in Principle 2.6 above) in a complete, timely, clear, concise, specific, and prominent manner. When the actual or

FINANCE AND SECURITIES PUBLIC ... ELECTRICITY GENERATING AUTHORITY OF TH... ELECTRICITY GENERATING PUBLIC COMPANY ... ELITE ENGINEERS COMPANY LIMITED ELITE PUBLISHING (THAILAND) COMPANY LI... EMC PUBLIC

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

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