products denominated foreign currencies. The revised regulations will allow business operators to provide services in foreign currency denominated products as permitted under their licenses. In addition
companies undertaking securities business. There are two types of investor contact , i.e., Investor Contact Type A permitted to conduct securities investment analysis, and Investor Contact Type B permitted to
. There are two types of investor contact, i.e., Investor Contact Type A permitted to conduct securities investment analysis, and Investor Contact Type B permitted to conduct securities investment analysis
an opinion on audit reports; 2.2 being affiliated with an audit firm that has an audit quality control system and the required number of personnel; 2.3 meeting other requirements, e.x., not having
and financial statements audited by an auditor who is employed by an audit firm that has been inspected by the SEC*; 2. Submit half-year and annual financial statements that have been
monitored with professional investment advices. If investors encounter any solicitation to transfer money into an account of securities firm, whether or not it is the firm that investors have already opened
, the asset management firm must disclose the information to investors for investment decisions; as well as rectify such non-compliance within two months. Failure to do so may cause the asset management
for purchasing shares of a company higher than actual value causing damage to POWER. Additionally, he permitted others to falsify entries in the accounts and documents of POWER. On March 30, 2015, the
. In addition, inception of mutual funds for non-retail (MF for non-retail) will no longer be permitted to avoid repetition of mutual funds for accredited investors, selling units to institutional and