to support such policy? 3. Has the company's inspection ever revealed dishonest acts of its employees or executives? If so, how has the company dealt with such cases? And what are the company's
to support such policy? 3. Has the company's inspection ever revealed dishonest acts of its employees or executives? If so, how has the company dealt with such cases? And what are the company's
oversight 2. Auditor supervision 2.1 Regulatory Summary of Approved Auditor in Capital Market 2.1.1 Filing of Application Auditor wishing to file an application for approval with the
Unfair Securities Trading Practices Prevention of Unfair Securities Trading Practices SHARE : Detail Content Group 1: Information disclosure that may cause damage to investors and capital market 1.1
Unfair Securities Trading Practices Prevention of Unfair Securities Trading Practices SHARE : Detail Content Group 1: Information disclosure that may cause damage to investors and capital market 1.1
pros and cons and the costs of compliance 4. Seek approval for the measure from SEC Board/CMSB/SEC Office 5. Conduct public consultation on the measure: focus group meetings/public hearings This
group of persons with a number of not over 35 persons; (2) The private fund management company shall prepare the client's profile in writing (customer's profiles/ KYC); (3) The private fund management
group of persons with a number of not over 35 persons; (2) The private fund management company shall prepare the client's profile in writing (customer's profiles/ KYC); (3) The private fund management
Trust (REIT) is a fund mobilizing vehicle for business entities to finance the current activity or to develop a new project. A REIT provides investors with an alternative in investment, and benefits from
) International Forum of Independent Audit Regulators (IFIAR) ASEAN Audit Regulators Working Group Cooperation with Foreign Regulators Alternative Investment Fund Managers Directive (AIFMD) International