convergence with international standards of securities offering with an emphasis on (1) adequate and reliable disclosure of relevant information for investors? informed decision making, (2) professional roles
suffer loss.Failure to give proper investment advices on generally accepted professional standards, guarantee returns from investment and failure to carry out order of the client were in violation of the
materiality for the client's investment decision was considered failure to perform duties with responsibility and due care as the capital market professional which was in violation of the Notifications of
equity, (2) the additional capital to ensure business continuity, and (3) the additional capital to cover potential liability risks due to professional negligence. Actions in case of failure to meet the
securities and derivatives businesses.In addition, SEC introduces additional regulations on operating businesses like a professional to all types of digital asset business operators. Examples include servicing
profession. The audit profession includes, for example: audit firms, professional bodies and bodies or entities associated with the audit profession. Indicators of independence from the profession include: - A
record and firm’s profile in the form as publicized in the SEC’s website. Signature of the applicant is required. (3) Certification of auditor’s professional qualification in the form as publicized in the
. Signature of the applicant is required. Certification of auditor's professional qualification in the form as publicized in the SEC's website . Signature of the applicant is required. Certification of
long-term relationships with some of your core holdings? Then holding an in-person meeting with the Chief Executive or board members might get you further than meeting merely with a company expert. 8. Do