whole or in part, to manage the business of the securities company only with the approval from the Office. In cases where it later appears that the persons under the first paragraph have the prohibited
follows: (1) Implement a policy on fintech application at board or executives level ; (2) Have persons understand the basic principles of technology usage;(3) Allow fund managers or
Trust status with the SEC. Such VC or PE Trust must also have qualifications in accordance with the rules, procedures and conditions as specified by the Director-General of the Revenue Department. The
· Forms 2 Does the firm have policies and procedures for the retention of firm’s documentation for a period of time sufficient to permit those performing monitoring and review procedures to evaluate the
was immediately put for overhaul and could be commissioned by 1st week of March, 2019. Since then the operations have gradually stabilized with Positive EBITDA posted for March 2019. As a result, this
development of the financial reporting ecosystem; it is our belief that for the financial reporting to be reliable, the stakeholders in the ecosystem should be aware, and have a good understanding, of their
historical success, or the strategy team’s belief in future success, of any of the strategies is not indicative of, and has no bearing on, future results. Risk controls and other proprietary technology do not
Minister of Finance shall be in charge of the enforcement of this Act and shall have the power to issue ministerial regulations and appoint competent officials to perform duties in accordance with this Act
have the power to specify in its notification the rules with which derivatives business operators shall comply.
have the power to specify in its notification the rules with which derivatives business operators shall comply.