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...
exercise her duty with care. In addition, she tried to rectify the mistake immediately but the revised information appeared in the news was not clear enough. In this regard, the committee advised the SEC to
the next two years from June 16, 2011. The order has been issued after the SEC?s finding indicated his serious audit mistake and failure to comply with the auditing standards in performing the audit of
, claiming that such money had been transferred to the client?s banking account by mistake by the securities company in charge. However, the client later found out the truth and received her money back from
auditing standards. During probation, the sanctioned auditors are advised to perform audit functions more prudently since another material mistake may affect their status as the SEC-approved auditors. # # #
executives;2. Administrative sanctions: Somchai?s non-compliance with the auditing standards was a serious audit mistake, causing him to be disqualified from the status of an approved auditor for issuing
not mistake plastics for food. We have to save the world for the future generations”, said Mr. Warawut Silpa-Archa, Minister of Natural Resources and Environment.“SEC encourages the listed companies
different from the Opinion of the Board of Director in accordance with clause 7 -NIL- 12. Accuracy of Information The Company has disclosed complete and accurate information, not false, made another mistake
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission No. Sor Nor. 87/2558 Re: Rules, Conditions, and Procedures for Management of Retail Funds, Mutual Funds for Accredited Investors, Mutual Funds for Institutional Funds, and Private Funds ______________________ By virtue of Clause 6, Clause 8, and Clause 9 of the Notification...
Investor Strategies for Incorporating ESG Considerations into Corporate Interactions www.blackrock.com www.ceres.org Century21st Engagement Investor Strategies for Incorporating ESG Considerations into Corporate Interactions [ 5 ] FOREWORD The Value of Our Voice ......................................................................................................................................... 1 How ESG Megatrends Are Shaping Valuation ...........................................................