their duties efficiently and effectively in the advancement and surveillance of listed companies’ financial statements and supervision of auditors’ work. Hence, the SEC regularly arranges internal
offering digital asset advisory service and/or acting as digital asset fund manager to provide alternative investment choices for investors, but also support careful monitoring of persons giving advisory
operations involving supervision of market activities or monitoring of compliance with the stated laws, rules and regulations are generally managed within the SEC Office, except for licensing, which must be
Questionnaire A Monitoring the Firm’s Quality Management Policies and Procedures Firm's Reference /Guidance Notes Description A1 Does the whole firm perform inspection to evaluate its compliance with
Prevention and Development Division and Market Intermediaries Division. 1.1 Prevention and Development Division comprises Corporate Monitoring Department, Financial Literacy Department and Corporate
Commission (SEC) has amended the regulations on supervision of initial coin offerings (ICO) with real estate underlying or real estate income stream (real estate-backed ICO) to be more comparable to real
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
. However, the SEC will continue monitoring relevant developments, supervision, and actions in various aspects to ensure that effective investor protection measures will be in place before further developing
/ActandRoyalEnactment/Act/explan-digital.docx HouseStyle Decree are that the law is enacted to ensure the effectiveness of the supervision and monitoring of the activities and businesses relating to digital assets and
/ActandRoyalEnactment/Act/explan-digital.docx HouseStyle Decree are that the law is enacted to ensure the effectiveness of the supervision and monitoring of the activities and businesses relating to digital assets and