of the information provided primarily based on the interests of the investors; Providing opinions that the issuers are qualified for approval by the SEC; Educating, advising issuers of securities about
of the information provided primarily based on the interests of the investors; Providing opinions that the issuers are qualified for approval by the SEC; Educating, advising issuers of securities about
/ Inquiries > Complaints / Whistleblowers > Whistleblower Contact us SHARE : Detail Content SEC Complaint Center Whistleblower Filing a tip (whistleblowing) means providing information that can be
Act B.E. 2535. Clause 3 Undertaking of inter-dealer brokerage under Clause 2 means providing of the services for consideration in forms of brokerage fee, other fees or other remunerations as a
assessment process by providing information and coordinating with related entities in their country for the World Bank's officers to be able to collect information for the assessment. Thailand firstly joined
assessment process by providing information and coordinating with related entities in their country for the World Bank's officers to be able to collect information for the assessment. Thailand firstly joined
securities borrowing and lending business under Clause 1 means providing service, in normal course of business, to general public with a view to effectuating securities borrowing and lending, regardless of
derivatives businesses 2. In readiness for providing services such as having capital and staff capacities to offer services appropriately and sufficiently, operating on an information technology system with
derivatives businesses 2. In readiness for providing services such as having capital and staff capacities to offer services appropriately and sufficiently, operating on an information technology system with
member jurisdictions, which emphasizes the independence from the accounting profession of regulatory body. The Principle was aimed at providing a guideline for IOSCO members to implement their supervisory