committees to obtain sufficient qualitative information from audit firms to support the selection of suitable auditors for the size and complexity of their business, ensure transparency, and promote the
funds), excluding equity funds. The amendments aim to ensure proper unit allocation and prevent any undue benefit by any particular individual. For example, the revisions require any person or group of
funding portal operation and suitability test in order to mitigate fraud risks and ensure that investors will be informed of risks associated with investment in SMEs, in particular startups, and liquidity
management companies must provide explanation concerning the funds for investors? understanding and must also take necessary steps to ensure that investors learn of associated risks prior to making investment
controlling person.SEC is therefore considering revision of the definition of major shareholder from currently being based on the “number of voting shares” to the “number of voting rights” to ensure that the
service and digital asset fund manager to the scope of digital asset business under supervision of the Digital Asset Business Law, to ensure the SEC’s appropriate supervision of digital asset businesses
, default of debt repayment at an amount exceeding 5 percent of the total assets, and changes to the major shareholders’ structure. To ensure that the proposed rules would not impose an excessive burden to
fund operators file with SEC, instead of using BOT’s portfolio and derivative investment aboard (PIA) form.To ensure complete information in the report which will replace the PIA, SEC has proposed
regarding digital assets from the public through war room operation. This is an integration to streamline all work processes to ensure timely legal execution and prevention of damages to people particularly
instruments). The restricted derivatives investor contacts will also have to upgrade their status to Category B investor contacts within 31 December 2011 to be able to further perform their duty. To ensure that