investment account. In this regard, investors are usually requested to give the same information repeatedly when open a new account with different intermediaries. Such redundancy causes inconvenience and a
the Internet, and the inconvenience for thorough reading of lengthy registration statements and prospectuses.The proposal is not expected to add much compliance cost because in practice issuers tend to
different intermediaries. Such repetitive filing causes inconvenience and higher cost of accessing different capital market services from different intermediaries. This current practice may also affect the
Alert list. The application is easy and swift to navigate on the phone screen. One must only type in a name, to know whether it is approved, licensed, qualified, or registered under the supervision of
, a lot of different forms are in use and a lot of similar information is required in different forms. As a result, investors face the inconvenience of filling in the same information repeatedly every
offered at the market price during the offering period. The revised provisions cover the key areas, as follows: 1) Approval: to screen the applicant?s corporate governance records whether or not
plays the role of promoting and developing the professional standards of financial advisors as they help to select and screen the quality of companies applying for listing in the stock market while also
). Moreover, audit firms will be enabled to screen quality of their auditors prior to filing with the SEC the applications for approval as capital market auditors in order to encourage the audit firms to take
Asset Advisor, Digital Asset Fund Manager, and Custodial Wallet Provider. In this regard, it is important to ensure that licensing process effectively screen the readiness and qualifications of the
companies and limited companies to raise fund through crowdfunding portals approved by the SEC. The crowdfunding portals will screen the companies intending to raise fund through their facilities; require