) organisational structure of the company; (2) availability of competent personnel; (3) fund management operation system; (4) internal control system. Clause 2. The organisational structure of the company shall be
least, the following particulars: (1) organisational structure of the company; (2) availability of competent personnel; (3) fund management operation system; (4) internal control system. Clause 2. The
Work System Related to Business Undertaking of Mutual Fund Management
Rules in Detail on Establishment of Information Technology System
The SEC’s inspection on the operation of Huobi as a digital asset exchange operator during February 2021 - March 2021 detected deficiencies and insufficiency in Huobi’s management structure and
Sukonthaman said: ?The SEC supervision takes into serious account intermediaries? managerial structure and work systems to ensure protection of clients? best interest and the overall market reliability. Some of
process has been delayed from the planned schedule, which may indicate potential impairment of assets related to the SPAC structure investments in the separate financial statements, such as investments in
, executives and controlling persons, structure of company boards of directors and proper checks and balances system, and (3) adequate system for continuing and reliable disclosure of information. The SEC has
SEC plans to issue additional requirements relating to the structure of the Board of Directors and Management of IPO companies and listed companies to the current regulations on the check and