PowerPoint Presentation Procedure for Investigation and Enforcement Measures Sources of Information to stimulate enforcement actions The SEC Office’s preliminary consideration Has a sign of any
The three month periods ended June 30, 2020 The Company would like to discuss the results of operation for the three month periods of year 2020,the company and company venture presented net loss in the
-based execution to simplify the overall procedure, (3) the clearer determination of the roles and responsibilities of company boards of directors and financial advisors to better respond to real practice
-based execution to simplify the overall procedure, (3) the clearer determination of the roles and responsibilities of company boards of directors and financial advisors to better respond to real practice
specified, and such committees shall not be responsible for the day-to-day operation. A securities company not keeping its customers’ assets in its possession is allowed to establish any mechanism or
the following orders: rectification of non-compliance operation, restriction of defective business operation, disclosure of improper behaviors, and suspension or revocation of approval, etc
satisfies the need of the user, and reducing the integrity risk by the content covering the development procedure or alteration from the beginning such as request including take the developed operation system
the integrity risk by the content covering the development procedure or alteration from the beginning such as request including take the developed operation system or altered for operate in the true
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
SEC Deputy Secretary-General Tipsuda Thavaramara said: "Capital market and financial technology are advancing fast, pushing securities businesses to increasingly diversify their operation and