public to be cautious when being asked to trade digital assets. The public should examine whether the operator is on the list of SEC’s digital asset business applicants. SEC reiterates that SEC has not
. Selling agent must comply with specified criteria, for example, selling agent must examine investor?s characteristics before offering for sale of the product to ensure that the offer has been made to
mutual fund) Redemption Form without providing services in such capacity, nor did she examine the unit holding report of the customer's fund investment portfolio before the customer's partial unit
audit on the internal control system concerning the B/E issuance, related receipt and payment transactions, and the company's accounting records practice. In addition, KC must examine the issue raised by
company accounting period. TTA will examine whether the shareholders? request and shareholding of each requesting shareholders is accurate before proceeding in accordance with relevant laws and
advisors, and derivatives business operators are required to report suspicious transactions as specified by the law to the AMLO; which has the power to examine the report and information relating to
security as well as supervise, monitor and examine compliance with such policies, measures, and operating systems, and review the suitability thereof regularly; In the interest of meeting the aforesaid
companies on 30 October 2023 at the SEC Building. The meeting’s discussion focused on policy directions to enhance competitiveness in conjunction with the development of asset management businesses towards
The MoU strengthens the existing relationship between the UK and the SEC, formalising collaboration in areas including accounting standards; the development of Financial Technology (FinTech) to