Rules for Custody of Customer Assets and Essential Details of Custody Agreement
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
assess the incremental risks associated with their staff providing personal services while other firms, which collected the necessary information, had no means to verify the reliability or the completeness
Review Panel Activities for Enhancing Financial Reporting Quality Summary of Audit Inspection Results B. Engagement-Level A. Firm-Level 38 Root Cause Analysis Framework and Focuses in 2019 Essential
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
Limited ("1000X") of transactions occurring with 5,000 wallet addresses on its website, https://www.1000x.live ("1000x.live"). This system was essential for the successful operation of
stakeholders, and thus bolstering further confidence of both local and foreign investors in our capital market. Due to the substantial effects of audit quality on the reliability of the available financial
quality financial report is an essential tool that provides useful information for users of financial statements, especially investors, so they can make well-informed financial decisions. This type of