financial reporting system and promote sustainable growth of the capital market. Regarding the supervision of audit quality, the SEC found that the inspection results of audit firms’ quality control system
Singapore in this area due to the SEC’s independent oversight system and robust supervision of audit quality assurance on par with international standards. The SEC also completed its assessments on quality
provide effective oversight and investigative capacity which will need to be appropriately funded. The ability to attract staff on competitive terms will enhance the quality and independence of supervision
, control and supervision of policies of the applicant; (b) work related to control, supervision and management of business units concerning investment advice, investment planning, analysis of investment or
Increasing flexibility of supervision and control of securities business The SEC may exempt a securities company from undertaking or prescribe a securities company to undertake in a different manner from
for Operational Supervision of Securities Underwriting dated 25 October 2006; (3) The second paragraph of Clause 2 of the Notification of the Securities and Exchange Commission No. KorThor. 5/2539 Re
a supervision policy of the securities company at the management level in the matters concerning internal control and conflicts of interest, at the level of commercial bank, securities business
the supervision (positively listed). 2. The amendments to the regulatory principles for the issuance and offering of digital assets in the primary market. Under the proposed principles related to the
which would serve as standards for derivatives fund management must be set out for the supervision of the derivatives business in the category of derivatives fund management to make the management that