follows: (1) Implement a policy on fintech application at board or executives level ; (2) Have persons understand the basic principles of technology usage;(3) Allow fund managers or
SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the
> The SEC Office's organization structure Our Structure SHARE : Detail Content The SEC Office's o rganization structure The SEC Office’s primary role is to implement the resolutions and policies set
. Insider trading is prohibited and other types of self-dealing and conflicts of interest are regulated. The SEC actively monitors the market for abusive practices. Institutional investors regularly vote
accounting standards while auditors must work for audit firms that have a quality assurance system in place. In addition, the SEC encouraged trade associations to expedite its preparation for self-regulation
enables companies, cities, states and regions to measure and manage their environmental impacts. With the world’s most comprehensive collection of self-reported data, the world’s economy looks to CDP as the
sending in line application. The banking and financial sector will be affected directly. Self-adjustment must be made and new forms of business must be found to cope with this likely trend as it could
technology governance in accordance with the following criteria in order to implement the information technology governance policy of the intermediary as specified under Clause 5: (4) Reporting on the