SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous monitoring and coordinating with the business operators, we have found that they have implemen...
English (United States) AuditorFollow Our use of cookies We use necessary cookies to make our site work. We'd also like to set
Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister
whenever necessary; Insufficient involvement of engagement partners and EQCRs in the engagement performance, such that their level of involvement does not correlate with level of audit risks, and thus
, the SEC deems it necessary for the audit firms to be self-reliant, which always starts with an adequate supply of competent audit staff who possess thorough understanding of both accounting and auditing
draft prospectus with the SEC Office: (1) being opened for public price bidding; (2) having an explicit condition that the person chosen to purchase the securities issued by each company must be a single
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 41. The provisions of this Division shall apply to any derivatives broker licensed under Section 16. The SEC may, if necessary, promulgate
clarity, a checklist of recommended or necessary pre- and post-issuance disclosures is provided in Appendix II of the SLBP. To ensure a smooth governance process, some issuers may find it convenient to make
English (United States) FundOperation Our use of cookies We use necessary cookies to make our site work. We'd also like to set