includes inspection of audit firms’ quality control systems, which has been running since 2010. According to the Activities Report 2021, audit firms in the capital market have continued to improve their
Complex Type 3 Investment Consultant
Complex Type 3 Investment Consultant
Complex Type 3 Investment Consultant
six months to improve and develop necessary work systems in compliance with the governing regulations. ________________________
During January – March this year, the SEC conducted a public hearing on proposed amendments to the PVD Act to support the development of fund structure, enhance the member protection mechanism
SEC proposes the amendment to Securities and Exchanges Acts in various aspects so that the law would be more flexible, able to keep pace with new development and suitable for actual use. It also aims
executives’ compensation policy, method of determining the compensation packages, and structures of each compensation type;- To improve disclosure of the use of proceeds in filing documents to be more
branch managers, and (4) enhance efficiency of investor protection by requiring business operators to ensure office branches appropriately accessible to investors, and inform clients sufficiently in
would not only improve the efficiency of debt offering supervision but also lighten the loads of debt issuers and maintain appropriate protection for investors. For such proposes, the SEC Office is