securities outside the stock exchange if abiding by the regulations, conditions and procedures set by the SEC Office. Earlier, the law prohibited such companies to trade securities outside the stock
of listed companies, as well as other policy directions that would help reduce challenges to accessing capital sources and carrying out the responsibilities of listed companies. The goal is to ensure
statements due to auditor?s limitation scope of review by VTE management. As such, the auditor was unable to apply other review procedures to satisfy the carrying value of investment in foreign associate
of applying for approval for accepting clients’ trading orders of capital market products outside the office and for performing other duties from home in line with the New Normal standard. The SEC
, through the SEC’s communication channels and mass media, in the forms of infographics, articles, as well as educational seminars organized in cooperation with related agencies. In carrying out investor
of research analysis by non-licensed business operators may be regarded as carrying out the investment advisory service business because such promulgation must only be made by a licensed business
Trading plans without being regarded as carrying out the securities business of private fund management or derivatives fund management, respectively. These rules have been in effect from 16 May 2019
auditors in the capital market, and to grant a fee exemption for resubmission of the application for approval of auditor in the capital market for the applicants who affiliated with audit firms outside
other laws outside the SEC’s jurisdiction, the SEC will coordinate with relevant authorities to take an appropriate action.The SEC urges the public and investors to exercise caution when using services of
requirement in the identification and verification process for the onboarding clients who already have relationship managers elsewhere outside the premise or the clients who have a life-time ID card without