that investors can have information for decision-making. At the same time, STARK was also instructed to extend the scope of its special audit to cover a number of material issues and clarify related
) preparation of the service agreement in respect of, for example, scope of conditions of service provision, customer’s rights, source of investment strategy; 3) availability of the appropriate personnel to
in becoming the wealth advisor.The wealth advisor may choose to carry out the wealth advice services according to its business model within the scope of the license obtained and must have the
stakeholders’ inputs into consideration in the process of drafting the amendments to the relevant regulations and documents to enhance the requirements on the sustainability-related information disclosure of
power to supervise the providers of infrastructure services which use digital technology to improve the efficiency of transaction process in the capital market. Therefore, SEC is seeking comments from
information in possession of SEC and in a form that the computer can read and readily process (machine readable data). Data can be obtained by means of code-writing for direct data query. SEC anticipates that
considered such report.Previously, the SEC had notified AIE and AI to rectify their 2014 financial statements as the auditors were unable to express opinions due to limitation on scope of audit imposed by the
the designated project and demonstrate clearly how it will contribute to environmental benefits or social development; 2.2 Process for Project Evaluation and Selection: the issuer must disclose the
shall ensure that the identification document bears the customer’s photo. Clause 10. In conducting the KYC/CDD process under Clause 8, the securities company shall classify, and apply the scope and