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
website so that investors will be able to access information and monitor the operation of the business operators before making a decision to use their services. _________________
website so that investors will be able to access information and monitor the operation of the business operators before making a decision to use their services
is approved to execute both types of transactions, the maximum limit shall be the total limit; (2) have the client make an agreement in writing for borrowing of money for purchasing securities or
risk management. 4. There should be an establishment of a compliance unit to supervise and monitor the operation that is independent from the management and other units. 5. Operation conducted with
risk management. 4. There should be an establishment of a compliance unit to supervise and monitor the operation that is independent from the management and other units. 5. Operation conducted with
, 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