• Bubble sizes represent AUM. • Bubble colors represent AMCs. Trading cost of ETFs Market Capitalization Weight, 67 Free-float Weight, 2043 (≈ 90%) 49 27 73 3 Market Capitalization Weight Free-float Weight
control system at the firm level and the individual engagement level, the SEC encourages all stakeholders to attain a better understanding and awareness of their roles within the ecosystem, from the
the audit quality control system, and closely monitored the COVID-19 pandemic situation to adjust the oversight approach and communication with stakeholders to meet the changing situation. In so doing
by mainly locking in long-term borrowing, represented 69% of total borrowing and weight average funding cost at 3.67% in the first quarter of 2017, decreased from 3.85% in the first quarter of 2016. 4
), which is presented as a separate annex. What is corporate governance? Corporate governance refers to the structures and processes for the direction and control of companies. Corporate governance concerns
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
, both listed companies and audit firms ought to put in place proper work processes and internal controls to ensure the desired outcomes. Listed companies need a suitable internal control system and a well
: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No
Securities and Exchange Commission No. SorThor. 8/2548 Re: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the
, hereby certify and consent to the followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply with the