relationships that might lead to a lack of independence. Example 5 : There were no policies requiring non-audit staff, such as consultants, external experts, outsource auditors and trainees to confirm their
companies; Ensuring fair treatment to shareholders of a takeover target company; Enforcing cases of corporate fraud; Supervising business operators to take care of investors with fair and reliability
assets, including government or corporate bonds and deposits. The asset management companies might offer investors certain options on terms and payout periods or allowed them to customize their own
Statistics of Criminal Actions (As of 31 December 2023) Cases Persons Cases Persons Cases Persons Cases Persons Fraud 0 0 3 17 0 0 3 14 Fail to exercise duty of care 0 0 - - 0 0 - - Disclosure of
condition or prospects of a rated entity, obligor, originator, underwriter, or arranger may mislead market participants. Likewise, conflicts of interest or other undue factors internal and external that might
) There might not be enough necessary information disclosed for investors.(3) The product above may lack of liquidity for trading with cash or other products Currently, there is no approved digital
access to the information regarding changes of the outsourced companies which might affect the business, or the provisions stipulating that the business providers must have necessary resources and
services that may involve with electronic units named "DB coin" or "DB token", blockchain systems and other businesses.Those actions might be considered as persuading and issuing newly issued securities
? anti-corruption leadership as they might start from setting up preventive measures and make progress to obtain Collective Action Coalition (CAC) certifications by 2015. If all financial intermediaries