The SEC has endorsed the concept of requiring audit firms to maintain an appropriate number of auditors in the capital market to enhance their overall strength and ensure sufficient staff to provide

bond to comply with the rules on communication and investor services for high-risk or complex capital market products, for example:          (2.1)  To provide information so that investors understand the

therefore reviewed the regulations regarding the operational guidelines for AMCs in case of incorrect pricing. This is to provide AMCs with greater flexibility in fund management, while ensuring that

Currently, the regulations related to provision on Repo grant an exemption or prescribe flexible conditions for business operators that provide services or engage in transactions with institutional

Some business operators wish to provide services of specific securities business, for example, brokerage,  dealing and underwriting of equity instruments or private fund management, but are unable to

investment. The SEC thus encourages capital market business personnel, especially investment consultants, investment analysts and personnel who provide services of making decisions on investment for investors

establish witness protection measures which can be granted during the stage of SEC’s investigation. The measures will provide SEC another prospect to obtain credible information and evidence that will

draft guidelines would provide examples of e-KYC in accordance to the principles as notified. However, business operators can also use other methods, provided that they have the same quality and

presentation of auditor?s concerns with key risk factors and risk handling methods clearly identified.? The New Auditor?s Report Educational Project aims to provide knowledge and usage guide to the new auditor?s

provide investors with more variety of investment alternatives and increase experiences in overseas investment while the service provider is required to comply with rules and practices prescribed by the