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
website so that investors will be able to access information and monitor the operation of the business operators before making a decision to use their services. _________________
website so that investors will be able to access information and monitor the operation of the business operators before making a decision to use their services
staff, as well as making it difficult to attract new talents. To improve the retention rate of high-potential employees, several audit firms started to adapt their strategy and policies concerning
shall cover all kind of potential risk occuring in the operation of business; (3) to protect against the use of inside information of units and personnel of the securities company (Chinese wall). By at
appraisal in risk management shall cover all kind of potential risk occuring in the operation of business; (3) to protect against the use of inside information of units and personnel of the securities company
operation of the securities company. Risk to be taken into appraisal in risk management shall cover all kind of potential risk occuring in the operation of business; (3) to protect against the use of inside
potential conflict of interest, disclose the upcoming related party transactions; * The guidelines for disclosure of the use of proceeds shall be in accordance with the Disclosure Guidelines for the
from data analytics, enabled banks to target, attract and engage customers using more sophisticated techniques. Banks cooperated with potential partners across industries to gain new opportunities and
risk management. 4. There should be an establishment of a compliance unit to supervise and monitor the operation that is independent from the management and other units. 5. Operation conducted with