Head of Compliance
debt securities issuance and offering and disclosure of foreign bank branches. Disclosure made in registration statement and post-offering periodic reports, such as financial statement and annual
or through mutual agreements. The chapter also supports stakeholders’ access to information on a timely and regular basis and their rights to obtain redress for violations of their rights. V
, report on offering result and periodic reports must be filed with the SEC after closing period of offerings. In case of private placement, more relaxed regulations will apply.?Debt securities have gained
Office ensures that the service provided by the cloud provider is reviewed on a regular basis. As for hard copy documents and printed materials, the SEC Office scans hard copy documents and printed
substitute for the guidelines in Items (6) - (7), for example, conduct regular inspection of mobile devices, or if an employee violates the rules, impose a penalty or remove the access right to application
and regular monitoring and amending of the policy. 3. The management should determine the guideline for conducting compliance inspection as follows: (1) Communicate with the related personnel to be