requires that the auditor of the entities in the capital market be approved by the SEC so that the SEC will be capable of regular monitoring the quality of audit work performed by such auditor, which
Fund Management) Circular Letter No. SEC (Wor) 24/2552 Re: Clarification for Understanding of Private Fund Management Establishment of Mutual Funds Cross-border Offering of Funds Offering of Investment
Fund Management) Circular Letter No. SEC (Wor) 24/2552 Re: Clarification for Understanding of Private Fund Management Establishment of Mutual Funds Cross-border Offering of Funds Offering of Investment
investment decision of the public, appraisal requires a knowledgeable, capable and responsible person to perform. The SEC have stipulated the undertaking of the asset appraisal by an appraisal company whose
Government Gazette / send the circulars / conduct seminars or dialogues with practitioners to ensure their correct understanding and implementation of the new notifications Acts and Royal Enactments
) Director, executive or controlling person of securities issuing company (2) Employee or worker of a securities issuing company who holds a position, or is in the line of work, is responsible for or capable
) Director, executive or controlling person of securities issuing company (2) Employee or worker of a securities issuing company who holds a position, or is in the line of work, is responsible for or capable
person with proportion or characteristics as specified by the SEC; (2) have honest executives as apparent from working records, who are capable and have experiences beneficial to business operation; (3
, who are capable and have experiences beneficial to business operation; (3) have measure to control and manage risks associated with business operation; (4) have effective measure on internal control
between two financial markets. The HK-TH MRF marks an important milestone in the bilateral cooperation between Hong Kong SAR and Thailand, following the Memorandum of Understanding on Strengthening Economic