Rules for Custody of Customer Assets and Essential Details of Custody Agreement
, appropriate and efficient. In addition, to observe the independence of the internal audit unit, as well as to approve the appointment, transfer and dismissal of the head of the internal audit unit or any other
possible limit of individual freedom, regulation is essential to uphold market credibility and orderliness. Yet, the regulator’s exercising of power must be prudent, fair and only as necessary to protect the
Board 2/2018 on February 22, 2018 has been approved the financial statements for year ended 31 December 2017. The basis for Qualified Opinion cause the effects of adjustment, if any, did not observe the
consideration of legal violations under the Digital Asset Business Law and other relevant legislations. Thanks to our collaboration, we observe a considerable progress made by the investigative task force. A
their rights of voting for the units they hold beyond the one-third rule. In addition, business operators offering mutual fund brokerage services to omnibus accounts have to observe the regulations
management of information technology systems as well as the security of the information system is an essential issue in order to prevent the risks that may occur from cyber threats. Therefore, SEC has
The Securities and Exchange Commission (SEC) organized a dynamic training program to enhance essential knowledge and investment insights for financial trainers. SEC Secretary-General Pornanong