-organized by the SEC and the FAP for the second consecutive year, the SEC has streamlined the work procedures and increased manpower to speed up the auditor approval process, resulting in significantly
companies concurrent with the 2013 AGM Check List Project so as to help promote listed companies? corporate governance. TIA has organized training courses to ensure the volunteer?s quality and ethics
personnel and the SEC staff. This is to enhance their work quality in line with the development of financial innovations and advancements in technology. We recently organized training programs with guest
otherwise entitled. Clause 3 Intermediaries shall identify its critical functions, assess their risks of major operational disruptions, conduct business impact analysis and assess potential damages arising
during the period of providing services: (1) compile and assess the information of the service-receiving client for the following purposes: (a) to know the client; (b) to categorize the client; (c) to
of providing services: (1) compile and assess the information of the service-receiving client for the following purposes: (a) to know the client; (b) to categorize the client; (c) to assess suitability
following actions during the period of providing services: (1) compile and assess the information of the service-receiving client for the following purposes: (a) to know the client; (b) to categorize the