have contravened the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended him from being an approved investment consultant of complex products type 1 and an investment
company by taking into account the appropriateness and acceptable risk level. The securities company should specify the details on the designation or approval for such action clearly in writing, and monitor
objectives. Furthermore, our AIMC members join the group efforts to monitor and inspect listed companies that may fail to comply with the ESG criteria, guided by the AIMC ESG Policy and Collective Action
(United States) meetings more easily and promote the exercise of voting rights to control , monitor and participate in the decision making on important matters. UPDATE: At present, the Emergency Decree on
below:1. Classification of complex fundsTo promote the launch of mutual funds with more innovative and complex investment policies in response to different risk profiles of investors, the SEC is
audit reports to be more appropriate for the risk level of small business operators and low-risk operators, with measures that allow the SEC to monitor the business operators’ risks in the event of
Unit would be required to closely monitor advertisements and report to the Board of Directors every month and submit such monthly reports to the SEC on a quarterly basis. The consultation paper is
strictly monitor and supervise their investment consultants to follow such requirements, the SEC may consider that they have inefficient compliance systems and may pursue further actions.?The trading volume