Re: Criteria, Conditions, and Procedure for Application for Waivers for Making Tender Offers for All Securities of Businesses with Objective of Assisting Business Rehabilitation
mutual fund management: Asset management company (AMC) shall have fiduciary duty to protect the interest of unitholders. In so doing, AMC shall lay out a policy for preventing and monitoring any act that
Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation Concerning Granting of Approval for Undertaking
stakeholders, the SEC implements the following procedure: · To assess the importance of matters to be under preventive regulations without which the reliability or efficiency of the capital market
stakeholders, the SEC implements the following procedure: · To assess the importance of matters to be under preventive regulations without which the reliability or efficiency of the capital market
elements of the financial reporting ecosystem, from better education and training to more rigorous monitoring and enforcement. And it is only when the appropriate processes are in place and the people
manager selection: specify policy, factor, property manager selection procedure e.g. capability of finding leasee and appropriateness of remuneration; 9.7 Monitoring of property manager’s operation: (1
information recording system with respect to derivatives trading, especially pre-trade information and post-trade information in order to support monitoring and examination after derivatives trading (audit
Handling Procedure Samples of Documents or Evidence Matters under Supervision of Other Laws Whistleblower Inquiries Complaint Forms Complaints / Whistleblowers Matters under the SEC
Audit Firm Name: Subject : Monitoring Prepared by Date Particulars Reference /Guidance Notes Description A Monitoring the Firm’s Quality Control Policies and Procedures 1 Does the whole firm perform