-central utility function, an intermediary shall supervise the outsourcing at least in the following matters: (1) the appropriateness of the operation of the service provider shall be monitored and reviewed
. Initially, it is found that most countries have the laws allowing an agency to oversee the audit firms and to convene a meeting to seek opinions and advice on the amendment of the Securities and Exchange
guidelines issued thereunder. This allows SEC to supervise the operation of ICO portal related to IT systems more efficiently and in accordance with the oversight standards imposed on other types of
Granting the Purchasing Right to Provider of Over-Allotment Shares After Allotment of Shares in Excess of Underwriting Amount
Granting the Purchasing Right to Provider of Over-Allotment Shares After Allotment of Shares in Excess of Underwriting Amount
have an impact on the overall capital market, with the provision that the business operators must select a service provider from the list of service providers approved by SEC. In addition, the draft
Rules on Appointment of a Third Party as a Service Provider on Behalf of an Intermediary or as a Marketing Agent of a Derivatives Fund Manager
oversee the auditors of PIEs, protect investors? interest and promote confidence in the quality and reliability of audited financial statements of PIEs. As at 31 May 2015, a total of 306 individual auditors
oversee the auditors of PIEs, protect investors? interest and promote confidence in the quality and reliability of audited financial statements of PIEs. As at 31 May 2015, a total of 306 individual auditors
interest of our members. Principle 3: Oversee asset managers to make informed investment decisions and engage in active ongoing monitoring of investee companies. Investment decisions should take into account