of clients? assets: deficiency of the verification process created risk of  damaging client assets. It was found that during August 2014 to March 2015 many clients asked the company to add another

consequently affect confidence in securities business and the capital market at large;      (2) Custody of clients? assets: deficiency of the verification process created risk of damaging client assets. It was

one of SEC’s missions to help SMEs and Startups to easily access funding sources in capital market. Specifically, the SMEs’ and Startups’ fundraisings need to be economical, suit the business needs

regard to any claim of high return of investment, and check whether the solicitor has obtained a license or approval properly. Public fundraising through securities offering needs prior approval while in

deal, Aapico ITS Co., Ltd. (“AITS”) needs to sell its 60 percent equity in Aapico QI Sdn. Bhd. (“AQI”) in Malaysia for an amount of SGD 450,000. The Company had to make this sale for the reason that QI’s

services to achieve the SEC mission and better serve the needs of stakeholders continuously. _______________________Remark: * The PACC has developed a guideline manual for establishing public sector

access to the comparable, statistical information for their investment decision making.The web page “IPO Fact Figure” is especially designed to serve investor needs for IPO share statistical information

The SEC proposes to revise the IA refresher course regulations to enhance their knowledge review criteria to be more appropriate and serve the needs of their roles and responsibilities. A previous

procedures and expenses. Furthermore, capital market tools currently available do not respond to SMEs’ needs. Therefore, SEC is now developing new rules to add more fund mobilization options for SMEs that

types of mutual funds. SEC therefore has amended the rules governing money market funds to enhance flexibility of asset management companies in managing funds and enable them to response to the needs of