company by taking into account the appropriateness and acceptable risk level. The securities company should specify the details on the designation or approval for such action clearly in writing, and monitor
audit reports to be more appropriate for the risk level of small business operators and low-risk operators, with measures that allow the SEC to monitor the business operators’ risks in the event of
Unit would be required to closely monitor advertisements and report to the Board of Directors every month and submit such monthly reports to the SEC on a quarterly basis. The consultation paper is
essential information for investors and shareholders to make investment decisions and monitor listed company performance, the SEC concluded that there are insufficient grounds to grant the requested extension
website so that investors will be able to access information and monitor the operation of the business operators before making a decision to use their services. _________________
website so that investors will be able to access information and monitor the operation of the business operators before making a decision to use their services
trust auditors will help investors monitor movements of trust unitholding and understand the overall status of insiders’ interests. SEC therefore requires directors and executive of trust managers and
monitor investee companies responsibly for clients? best interest. Declaration of voluntary compliance with the I Code is expected for launch in 2017 and the disclosure of information based on the I Code
unit; for instance, to monitor development of new regulations, work as knowledge center for all employees, inspect or review compliance of business operations, prepare operational inspection plan and