worked for Country Group), had used incomplete Customer Confirmation and Portfolio reports in substitution for order tickets. Their actions were deemed as failure to record the customers? securities
auditor and found audit deficiencies related to the issuance of B/E. The deficiencies resulted in {A}’s failure to detect the incomplete record of the B/E in the annual financial statements.The SEC has
investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous
SET on a continuous basis and viewed that preventive measures implemented by the SET to cope with high turnover securities trading are appropriate and responsive to current environment. Therefore
capital market businesses. More investment channels to support convenient and continuous investment in mutual funds will back the government policy to promote saving and investment discipline and
in the possible event of service discontinuance or financial problems that may occur on a continuous or concurrent basis among service providers as has recently been the case for foreign counterparts
Presently, the digital asset business operators are required to hold shareholders’ equity as a minimum capital requirement to assure their sufficient capital for continuous business operations
SEC Secretary-General Ruenvadee Suwanmongkol said: “SEC has been monitoring the corporate bond market on a continuous basis. There are many policy issues to address properly. For example, corporate
Today, development of technology is rapid and continuous. It disrupts development of services in the capital market. However, SEC views that many provisions in the Securities and Exchange Act B.E
from insufficient involvement of engagement partners and engagement quality control reviewers (EQCRs) and incomplete audit manuals as required by quality control standard. Findings by respective average