digital asset businesses to enhance investor protection The SEC’s policy is to strengthen the oversight of digital asset business operators with a focus on quality and reliability enhancement of such
) urgent issues regarding building liquidity, recovery and strengthening capital market to support economic growth and competitiveness, and (2) fundamental issues regarding building reliability and
provide services with loyalty, affecting the reliability of capital market business personnel in a significant manner, which is considered a prohibited characteristic of the capital market business
personnel with knowledge, expertise and credibility among general investors, their misconduct in this case is a serious offense, affecting the reliability of the capital market in a significant manner
companies? chief executive officers (CFO), the key persons responsible for accuracy and reliability of financial reports, aiming to raise awareness of their responsibilities and importance of financial
procedures for proof of guilt committed by a group of persons which is usually the case with market manipulation; 1.4 Supervision of exchange-based trading to maintain continuity and reliability of the
oversee the auditors of PIEs, protect investors? interest and promote confidence in the quality and reliability of audited financial statements of PIEs. As at 31 May 2015, a total of 306 individual auditors
that provide greater customer convenience, speed and reliability with ever-greater consideration of consumer protection and customer privacy. To secure our status as a leading financial institution which
two calendar years prior to expiration of approval term; 2.2 Master’s degree or higher from educational institutions accepted by the Office during the past two calendar years prior to expiration of