category of private fund management which is a financial institution established under other laws or also conducting other types of securities business. Clause 11 In engaging in proprietary trading through
around 82% but the cost of goods sold of Q4/2019 is down to 77.9% because of the reduction in raw material cost. • Although we have continually conducting cost down projects and minimize the internal
additional information and facilitate the SEC Office’s officials or assignees in conducting a site visit and inspection over the audit quality control system of the audit firm where I work for, for the benefit
regulations to be aligned with the current private fund models. The SEC is therefore conducting this public hearing on the proposed principles and draft amendments with the key points as follows: (1
conducting this public hearing on the proposed principles and draft amendments, with the key points as follows: (1) To improve the work process and operation related to investment policy
Based on information provided by a whistleblower and the SEC’s further investigation, it has been revealed that Morakot has displayed behaviors indicative of conducting securities business in the
. The SEC is therefore conducting a public hearing on the proposed amendments. The major changes to be introduced are as follows: (1) Specifying the process of SEC Office in assessing whether the