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
servicing clients who want to reclaim their assets and will lay off all employees,SEC found out that clients’ digital assets which remained under control or in possession of BX were transferred thereafter
sending in line application. The banking and financial sector will be affected directly. Self-adjustment must be made and new forms of business must be found to cope with this likely trend as it could
Rules, Conditions and Procedures for Operational Control in Underwriting of Securities (No. 2)
are sufficient and correct before forwarding them to the Board of Directors for consideration. - Review the internal control system to oversee that the internal audit procedures are adequate
Bangkok, February 13, 2012 ? The SEC is seeking public comments on draft revisions to the regulations governing approval for valuation companies and principal valuers for public purposes associated
suitability test. Due to their high level of sophistication, the institutional clients are considered capable of doing self-assessment; however, they may wish to opt in the coverage of suitability test in order
with the exchange. Also, the proposed amendment will enable demutualization of the SET in order to unlock control and governance dominated by brokers and induce pressure to reduce costs and increase
Repeal of the Notification of the Office of the Securities and Exchange Commission regarding Operating Control and Information Technology Security of Securities Company