whether the code of conduct is complied: 1.3.1 Monitoring and assessment by an internal audit unit or a compliance unit; 1.3.2 Self -assessment by executives and employees; 1.3.3 Assessment by independent
Exchange Commission Assistant Secretary-General, Fund Raising Supervision Acting Director, Corporate Monitoring Department Director, Investment Management Policy Department Director Investment
) Basic investment knowledge;(2) Understanding investment products;(3) Understanding digital assets and related risks;(4) Investment diversification and monitoring;(5) Understanding
company's management and monitoring on personnel systems did not comply with professional standards. In this regard, the SEC warned KPMG Phoomchai Business Advisory Ltd. to emphasize on compliance with
plan with proper instruments; (4) monitoring and adjusting investment proportion in according to acceptable risks and investment targets; and (5) reporting the overall investment of customers. If
) implementing the portfolio according to the asset allocation plan; (4) monitoring and rebalancing the portfolio; and (5) providing consolidated reports for customers’ review;2. The wealth advice service
. The proposal aims to promote a clear understanding and a standardized protocol for monitoring and supervision of digital asset businesses, and to reduce the necessity for case-by-case data
according to the asset allocation plan, (4) monitoring and rebalancing the portfolio, and (5) providing consolidated reports for customers’ review.“The business operators therefore play a highly important
corporate bonds or to fund business operation on the condition that the earlier corporate bonds must be repaid first, and a mechanism for management and monitoring of money spending according to the set
respond more accurately to the changing risk landscape. Audit regulatory body also needs to follow suit by closely monitoring the growing situations to allow for an adaptive regulatory mechanism that is