) Basic investment knowledge;(2) Understanding investment products;(3) Understanding digital assets and related risks;(4) Investment diversification and monitoring;(5) Understanding
The board should demonstrate a thorough understanding of its leadership role, assume its responsibilities in overseeing the company, and strengthen good governance, including: (1) defining objectives
rating, and is capable of operating the work impartially and fairly. The investment advisory company shall submit an application for approval to the Office together with the document evidences as
mutual understanding that the information is shared confidentially. The Principles are high-level objectives that CRAs, regulators, rated entities, obligors, underwriters, arrangers, and other market
shall render the company is capable of efficiently preventing risk in information technology and it attain an assessment the risk in information technology in the better level. In Nevertheless, the
is capable of efficiently preventing risk in information technology and it attain an assessment the risk in information technology in the better level. In Nevertheless, the securities company may
requires a knowledgeable, capable and responsible person to perform. The Notifications of the Securities and Exchange Commission, the Notifications of the Capital Market Supervisory Board and the
in ASEAN countries which are signatories to the Memorandum of Understanding ("MoU") to establish cross-border offering framework. Malaysia, Singapore and Thailand are expected to sign the MoU by the
understanding about rights and duties of DR holders and issuers as well as applicable fees.
Since the class action law came into force in 2015, the SEC has continuously publicized the information about the law to enhance knowledge and understanding of investors and interested parties