companies and derivative business operators take full ownership of the written BCM policy and enforce strict implementation of the BCM plan. In case of outsourcing business functions to service providers, 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
be certified or registered and subject to inspection by relevant governmental agencies, strict supervision imposed on limited companies or public limited companies should not apply. This would allow
’ assets and strict supervision on asset separation. The private fund operators can self-custody for its assets under management without applying for the approval of being custodian. Such a move will
derivatives and structured notes. The revisions include expanding underlying assets of derivatives and SN to cover all investible assets as well as revising SN definition and underlying assets in the category
investors better. Key changes in the amendment include:- Expanding the payment amount of redeemed investment units on the unit trading day- Allowing asset management companies to fix the fund’s constant net
conduct must be as strict as those imposed on the sale of high-risk products and the associated risks must be clearly disclosed; (8) Debt issuers must use the raised money to repay for the earlier
but also reduce partial costs for audit firms. But In any case, each first-time applicant is subject to the SEC’s strict audit work quality screening process in accordance with the international
cooperation is creating the synergy for investment governance culture in the capital market.SEC Secretary-General Rapee Sucharitakul said: ?It takes more than strict regulations to develop a sound capital
current situations by expanding the scope of protection and effectiveness as well as closing legal loopholes that could bring people damages or improper services. The regulations are proposed to be