results Sort by: Relevance Date (Newest) Date (Oldest) English (United States) MarketProfessionals and Audit Oversight Mutual Fund Business Operators Registered Persons Wealth Advice for All A Settlor of an
, internal control and follow up measures to ensure effective implementation. Clause 4. Beside the qualifications prescribed under Clause 3, an applicant for derivatives business operator registration under
staffs, internal control and follow up measures to ensure effective implementation. Clause 4. Beside the qualifications prescribed under Clause 3, an applicant for derivatives business operator
One Report ESG Issues AGM FAQ Capital market professionals/gatekeeper CSR Whistleblower Audit committee About us Overview Detail Content SEC Roles C oncept “Supervision” is the core
as follows; (1) Fast Track: auditors who a) are under supervision by an audit oversight authority that has same auditor oversight standard as that of the SEC, and b) have experience in auditing and
large part consistent with the SEC’s Strategic Plan and policy since the SEC is a major driver of the Master Plan. In this past year, the SEC has been active in imposing rigorous supervision/enforcement
wallets and keys as well as communication to clarify such policy, action plans and procedures, work supervision and internal control to ensure compliance with the policy; (2) Policy and procedures for
management who are responsible for the line of work relating to being fund supervisor may control over its management as a representative of such juristic person. “Office” means the Office of the Securities
are responsible for the line of work relating to being fund supervisor may control over its management as a representative of such juristic person. “Office” means the Office of the Securities and