. Accordingly, compliance unit must be strengthened to have clear role, duty and standards of conduct and thus help building up compliance culture to ensure that business operator complies with laws and
convenient, (3) review details of commitment between unitholders and asset management company to be more complete and (4) revise form and content of prospectus to ensure comprehensible and adequate disclosure
used to invest, based on market price, at least every business. This is to ensure that securities company or derivatives broker will be able to return client?s assets in full after withdrawing deposit or
to investment loss. The SEC is therefore proposing to specify the qualifications of cryptocurrency investors to ensure proper investor protection mechanism in consistent with the level of risk
31 March of each year may be used instead. This is to ensure that the fee calcualtion is based on more updated information. In any case, the fee rates remain the same without any revision. The
) Reducing debt securities notifications to ensure less complicated rules and more convenience for stakeholders; (2) Reviewing regulations to be up-to-date and consistent with other regulations on other types
addition, the fund prospectus summary and subscription forms must be made available to investors through all distribution channels, and unit sellers must ensure that their prospective investors acknowledge
suggestions from the hearing, the SEC has now finished the first draft of such regulations. In order to ensure that the final draft regulations are reasonably in line with practitioners? recommendations given
composition to ensure efficient check and balance, but the SEC has decided to impose only the one-third requirement to avoid too much burden on listed firms. Most of the firms have already met the requirement
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