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
strategies for the development and promotion of duties and self-discipline within securities companies – a critical responsibility for everyone, including the board and management, customer service, risk
Rules, Conditions and Procedures for Operational Control in Underwriting of Securities (No. 2)
ปฏิบัติงานด้านหลักทรัพย์ (compliance) และส่งเสริมการกำกับดูแลตนเอง (self-discipline) ของบริษัทหลักทรัพย์ ซึ่งเป็นหน้าที่สำคัญของทุกคนในการกำกับดูแล ทั้งคณะกรรมการและผู้บริหาร ส่วนงานที่ทำหน้าที่ให้บริการ
Repeal of the Notification of the Office of the Securities and Exchange Commission regarding Operating Control and Information Technology Security of Securities Company
reliability of financial reporting by selecting suitable accounting policies and implementing effective internal control systems. In other words, they are the first line of defense in financial reporting. Next
"electronic possession" OR "electric ownership" OR "electric control" OR "digital ownership" OR "digital control"&wt=json&indent=true&facet=true&facet.field=key_filetype&facet.field=key_sitemap&facet.field
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the audit quality control system, and closely monitored the COVID-19 pandemic situation to adjust the oversight approach and communication with stakeholders to meet the changing situation. In so doing