, “Strengthening Good Corporate Governance by Audit Committee and Independent Director: Experiences from Fraud Cases” to discuss samples of fraud cases taking place around the world and to raise the awareness of the
(effective on 16 April 2016). 9 17 (5) for the management of the REIT: (a) there shall be no reasonable suspicion that the mechanism for managing the REIT is unable to protect the rights of the unitholders or
Interpretation • [All] One-standard deviation increase in paper loss would raise risk-taking by 13.79% • [Low-Risk Group] One-standard deviation increase in paper loss would raise risk- taking by 10.49% • [High
ICO, the SEC would like to further raise the following issues for public consultation. Please note that our public consultation will be extended to December 15, 2017. To send your comments and
demand the communication with concerned parties and gradually resolve the findings. As such, the SEC will continue to raise the issues recommending the firm to devise additional remediation plan as follows
the manner that is distinguishable without any suspicion, and there must be separate account for each client’s assets and segregated from the account of its own, which should be kept it accurate
distinguishable without any suspicion, and there must be separate account for each client’s assets and segregated from the account of its own, which should be kept it accurate, complete and up-to-date. Also, the
supporting declaration of identity and additional documents in case of reasonable suspicion concerning investor’s qualifications. Securities company shall revise investor’s information under the first
of the repurchase transaction. (b) segregating under self-safekeeping which shall be done in the manner that can clearly identify without suspicion that such amount of money belongs to the client; (2