qualified audit personnel and inability to react to changes of professional standards and more complicated structural transactions, will also be addressed to support market readiness for current dynamic
in this manner had not happened before. The fact in this matter, although seems not so complicated, relates to many provisions of laws under the purview of both the SEC and the DBD. Accordingly, while
can be summarized as follows: Strategy One: To embrace financial technology (FinTech) as a tool for adding value and creating more efficient market and accessibility for all stakeholders. This priority
, especially through efficient cost management and expansion of their customer base and income from financial transactions and services via digital platforms. Close attention should be paid to the overall
the SEC’s strategic priority to build cyber resilience and to ensure that licensed corporations have efficient IT systems and resilience to cyber threats and are able to comply with the governing rules
an exception for appropriate and efficient mechanisms to prevent a conflict of interest in place, annual financial statements approved by an auditor, and maintenance of capital reserves in accordance
-your-client and due diligence, custody of clients? assets and transaction verification to ensure that client services are efficient and to prevent exploitation of securities firms for improper gains
Commission concerning Additional Rules for Mutual Fund Investing in Derivatives and Credit Linked Notes ; (3) investment units of a mutual fund whose returns calculation is made in a complicated way (complex
mutual fund whose returns calculation is made in a complicated way (complex return fund); (4) investment units of a mutual fund whose net exposure in commodities is made through its investment in commodity