, report or relevant document to the SEC Office within appropriate period, whether general or case-by-case basis without excessive burden to the intermediary , in order to monitor the compliance with this

clients An intermediary shall compile [i] sufficient information relating to clients in order to identify the clients and [ii] other information for supporting its properly provided services; (10

intermediary shall compile [i] sufficient information relating to clients in order to identify the clients and [ii] other information for supporting its properly provided services; (10) communications with

a client and another client; (8) clients’ interests An intermediary shall pay regard to the interests of its clients and treat them fairly; (9) know your clients An intermediary shall compile [i

information to compile reports and to help us improve the website. The cookies collect information in a way that does not directly identify anyone, including the number of visitors to the website and blog

investors? awareness in helping monitor our capital market and facilitate legal actions against any persons taking advantages of others. Key criteria of the regulations include methods for giving information

monitor investee companies responsibly for clients? best interest. Declaration of voluntary compliance with the I Code is expected for launch in 2017 and the disclosure of information based on the I Code

such information publicly and promptly because financial statements are material information for investors and shareholders to make well-informed investment decisions and monitor company operation.?

trust auditors will help investors monitor movements of trust unitholding and understand the overall status of insiders’ interests. SEC therefore requires directors and executive of trust managers and

Unit would be required to closely monitor advertisements and report to the Board of Directors every month and submit such monthly reports to the SEC on a quarterly basis.     The consultation paper is