operating crowdfunding portals. The supervised areas include measures and implementation against conflicts of interest, member data storage, disclosure of issuer information, issuer compliance monitoring
of the SLBP but also ensure proper monitoring, disclosure and verification as per section 4 of the SLBP. In particular, issuers of SLBs should publish, and keep readily available and easily accessible
Assigned weights (%) 1st inspection cycle 2nd inspection cycle 1 2 4 6 5 3 Ethical requirements Client acceptance and continuance Human resources Engagement performance Monitoring 20 20 20 In de pe nd en t
monitoring the compliance with the policy and measures set in place; (c) operational system promptly for operation of derivatives business in the category to be commenced; (d) human resources promptly for
monitoring the compliance with the policy and measures set in place; 7 (c) operational system promptly for operation of derivatives business in the category to be commenced; (d) human resources promptly for
written investment governance policy, (4) making informed investment decisions and monitoring investee companies regularly, (5) escalating monitoring of and engagement with the investee companies in case of
Engagements) (1) (1) 4 (Human Resources) ( ) ( ) 5 (Engagement Performance) (2) ( ) 6 (Monitoring) (1) (2) 100 .20 65 2 KPMG KPMG AQIs 2 KPMG KPMG 2 KPMG KPMG KPMG KPMG KPMG KPMG KPMG KPMG 108 31 2564 5.60
) 4 (Human Resources) ( ) ( ) 5 (Engagement Performance) (2) ( ) 6 (Monitoring) (1) (2) 100 .20 85 2 EY data analytic tools EY EY EY EY EY EY EY EY EY 211 30 2564 6.41 35 EY 3 3 1 (Leadership
On 15 June 2023, the SEC took part in the MMoU/EMMoU Monitoring Group meeting, in which IOSCO members’ information sharing and assistance under the MMoU/EMMoU framework was reported, and made an