-level is inadequate and insufficient. An absence of description and example on what is expected to be monitored also causes the assigned person the inability to monitor the significant matters thoroughly
which is supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the
supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the aforesaid provision
design, competitive strategies, and treatment of employees and customers, etc. Such activities should be monitored to ensure compliance with at least relevant laws. In cases where CSR was affected by the
design, competitive strategies, and treatment of employees and customers, etc. Such activities should be monitored to ensure compliance with at least relevant laws. In cases where CSR was affected by the
provision.To improve the service provision standards, the Association of Securities Companies has drawn up the draft operating guidelines to be observed by its members. Upon the approval of SEC, securities
clearing house shall take the following actions: (1) have the steps or procedures concerning computer systems relating to derivatives clearing and settlement services reviewed, monitored, and examined
supervised in response to the changing scenarios to enhance investors’ trust and confidence. In this connection, the SEC sets priorities for policy measures, developmental and supervisory, that can keep pace
competitiveness; being assured of stability of the systems monitored and maintained to accommodate fluctuations; and supported for development of professional standards. Investors Accessing to information and
each type of capital market products and investment proportion. Trading orders will be executed according to the selected portfolio advisory and will be monitored and rebalanced to maintain its