company, (2) Be under the supervision of high-level management, (3) Have knowledge, ability and readiness to undertake the duty, and (4) Execute the duty by taking into consideration the benefits of
. Medium-high risk 5 ▪ has a net exposure in equities, fixed income, or alternative assets. ▪ In case of CIS without specifying its investment limit in equities, the risk level should be in accordance with
into account risks of client and technical competency and level of relevant experience of audit staff. Meanwhile, deficiency was found on engagement performance (EP) with lowest average score, resulted
actions that maybe detrimental to the general public, or capital level lower than regulatory minimum requirement. These also include cases where financial institutions are placed in the control of the
receiving appropriate level of protection. AI comprises (1) institutional investor* such as commercial bank, mutual fund, provident fund and (2) investors with high net worth, which means (i) an individual
Funds to invest in crypto assets under a risk level appropriate for the types of investors. For the Funds targeting ultra-high net worth investors***, they would be allowed to invest in crypto ETFs
) Allowing the Funds to invest in crypto assets under a risk level appropriate for the types of investors. For the Funds targeting ultra-high net worth investors***, they would be allowed to invest in
Audit Committee Board of Directors and Audit Committee have examined together that in the past 1-2 years, the joint venture company has lost operating results. One of the reasons is high interest expense
Committee and Audit Committee Board of Directors and Audit Committee have examined together that in the past 1-2 years, the joint venture company has lost operating results. One of the reasons is high
-security basis, (2) Implementing an Auction trading method for securities under Trading Alert, Level 2 or higher, and (3) Implementing an Auto Pause on a per-security basis upon an abnormally high volume of