draft regulations relating to the net capital of business operators principle, in the second quarter, covering the calculation of subordinated facility for accommodating increasing transactions in the
on the draft regulations relating to the net capital of business operators principle, in the second quarter, covering the calculation of subordinated facility for accommodating increasing transactions
The SEC emphasizes the monitoring of risks related to capital market and the development of digital capital market, covering the areas of supervision, service provision of business operators, and
three years, covering additional access control measures to include both user accounts (or non-administrator accounts) and privileged accounts, and maintaining incident records with root cause analysis
management companies.Now, SEC has drafted regulations covering various topics, such as that investment management companies must present multiple investment policies, which must also be in conformity to the
management companies. Now, SEC has drafted regulations covering various topics, such as that investment management companies must present multiple investment policies, which must also be in conformity to
analyze, the SEC imposes certain requirements on the issuers covering (1) investor rights protection and fair treatment for all shareholders, (2) qualifications, duties and responsibilities of directors
Bangkok, May 12, 2015 ? The SEC published 2014 Independent Audit Inspection Activities Report covering inspection of 12 audit firms and working papers of 46 approved capital market auditors. The
covering risks and the detailed operation concerning the risk management. Clause 3 The securities clearing house shall procure adequate financial resources for potential risks arising from the operation of