.? [The average scores range from 5 (the lowest) to 1 (the highest)]. Major issues found among the inspected audit firms included non-compliance with auditing standards and inefficient work monitoring
test to make sure that the clients understand their own risk profile and receive appropriate investment advice before making an investment or a transaction. Clear and comprehensive disclosure of
investors in the bond market.” SEC Bond Check Version 2 allows investors and the interested public to search for a wider range of information and details using advanced functions. For example, users can
on 13 March 2020, SEC has already approved 17 such SSFs established by 13 asset management companies. “SEC has expedited the approval process to make sure that IPO of this special SSF can begin on 1
investors to invest in a diverse range of securities products. By requiring that all types of securities offering to high net worth investors be proceeded through intermediaries, the proposed revision would
of Accountancy from Chulalongkorn University, Thailand and a Master of Business Administration from Western Michigan University, USA. She has a wide range of experiences on capital market, including
strongly advised to thoroughly check and make sure that all receipts or evidence of payment are issued by the companies in charge. In case of making an agreement to buy an investment product outside the
make sure that the clients would open a separate trading account from a traditional one and prepare service agreements and comply with the existing rules on work systems and professional duties.In light
, effective from 17 March 2020. Investors are strongly advised to thoroughly check and make sure that the evidence of all transaction records, both buy and sell sides, is genuinely issued by the banks or the
case, investors should check the records of transaction confirmation regularly to make sure that they are properly issued by the securities companies in charge. In case of suspicious incidents