The SEC has sought cooperation from all financial advisors (FA) to help raise up standards of IPO companies by focusing on good internal control system and credibility of financial statements
Internal Control Sufficiency Evaluation Form Concepts and Objectives Good internal control is essential for a listed company or a public company as it can help preventing, managing, mitigating risks
Rules, Conditions and Procedures for Operational Control in Underwriting of Securities (No. 2)
Repeal of the Notification of the Office of the Securities and Exchange Commission regarding Operating Control and Information Technology Security of Securities Company
utilizing the inside information for selling IFEC shares on 4 November 2016, totaling 10,153,186 shares, through his own trading account. 22/12/2020 The Appeal Court has rendered a judgement opposing the
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