misunderstanding that deposit taking and lending services are under the same supervision as regulated digital asset businesses. Under the SEC’s policy, digital asset business operators are not allowed to provide or
institutions holding securities business licenses, which are under direct supervision of other regulators and are subject to anti-money laundering and terrorist financing regulatory and oversight regimes that
Notification of the Securities and Exchange Commission No. KorThor. 24/2549 Re: Rules, Conditions and Procedures for Supervision of the Operation of Securities Underwriting dated 25 October 2006; (4) Clause 2(1
, which are under direct supervision of other regulators and are subject to anti-money laundering and terrorist financing regulatory and oversight regimes that are comparable to this Notification
), which is presented as a separate annex. What is corporate governance? Corporate governance refers to the structures and processes for the direction and control of companies. Corporate governance concerns
as follows: licensing and supervision of the activities of intermediaries, including fund managers and distributors; authorising funds and their offering documents to be offered to the public in Hong
) 5th Annual Meeting was held in Kuala Lumpur from June 15-16, 2015. Hosted by Audit Oversight Board (AOB), Securities Commission Malaysia, the meeting was attended by over 80 regulators and audit firm
auditing and accounting standards and guidance? Does the audit manual included requirements that are related to quality control of audit engagement? Where are standard audit manuals kept? Do the firm
Rules, Conditions and Procedures for Operational Control in Underwriting of Securities (No. 2)
Date (Newest) Date (Oldest) SEC Search ( 2 ) http://172.19.1.196:8983/solr/secweb/select?q= electronic possession OR " electronic possession " OR "electrical ownership" OR "electrical control" OR