are to support businesses of different models; enhance competitiveness for the intermediaries; suit respective risk types of different business activities; lessen unnecessary burdens on the business
their needs for advisory services of financial planning to attain targeted savings, do not have access to these services. The existing advisory services are catering primarily to high net worth investors
resembles the international supervisory framework. The audit quality control regulatory shall be performed at both individual auditor level and firm level. In order to enhance quality and reliability of the
enhance audit quality of financial statements of entities under the SEC oversight to ensure confidence on financial reporting disclosed to the public. The SEC requires the auditor in the capital market to
information to the investors, representing the financial position and operating performance of the entities in the capital market, and is one of the most crucial factors to enhance investor confidence in the
Details Regarding the Services with Specific Features Provided by Securities and Derivatives Business Operators (No.3) The Notification of the Office of the Securities and Exchange Commission No. SorThor. 2
can better diversify the investment risks, and receive professional services in monitoring and managing the investments. Establishment of Mutual Funds Cross-boder Offering of Funds Offering for Sale