have control over the executives in risk management, financial management and business strategy. The securities issuing company must disclose the minimum requirements in a format and within the
. Derivatives brokerage 2. Securities dealing 2. Derivatives dealing 3. Investment advisory service 3. Derivatives advisory service 4. Securities underwriting 4. Derivatives fund management 5
SEC Search Search From : Home > Search > Search Results search: Sitemap Any Sitemap Law and Regulations ( 33 ) Documents aspx ( 31 ) http://172.19.1.196:8983/solr/secweb/select?q=electrical control
ended for at least two years prior to the date of filing. Not being a provider of professional services, a significant shareholder, controlling person, or partner of such provider with a service fee of
Derivatives Business 1. Securities brokerage 1. Derivatives brokerage 2. Securities dealing 2. Derivatives dealing 3. Investment advisory service 3. Derivatives advisory service 4
=electronic possession OR "electronic possession" OR "electrical ownership" OR "electrical control" OR "digital ownership" OR "digital control"&wt=json&indent=true&facet=true&facet.field=key_filetype
in the Category of Investment Advisory Service B.E. 2545 By virtue of Section 7 and the fourth paragraph of Section 90 of the Securities and Exchange Act B.E. 2535, which is an Act containing
resembles the international supervisory framework. The audit quality control regulatory shall be performed at both individual auditor level and firm level. In order to enhance quality and reliability of the
also a team of knowledgeable and competent engagement partner and audit staff working together under a reliable audit quality control system of the audit firm. As such, the auditing must be carried out