. The company, for example, assigns each individual unit to monitor operation and report to the respective supervisors. Alternatively, the company assigns the internal auditor to monitor operation and
continuously encouraged and monitored the improvements of both the quality of audit firms and that of individual auditors and we have noted that auditors and audit staff who belong to audit firms with effective
able to show that any individual being its director, manager or person with power of management who is in charge of derivatives business of the applicant meets the requirements and does not have any
three years relating to gold; (4) Being able to show that any individual being its director, manager or person with power of management who is in charge of derivatives business of the applicant meets the
the equity crowdfunding scheme and would confine individual exposure to ICOs, there are counter-arguments that this would overly restrict retail investors’ freedom to invest and the same could be said
nature of the liabilities of the institutional investor. 4.2 Active monitoring Institutional investors should monitor closely the companies in which they invest in order to assess their individual
beneficiaries or clients, such as individual savers or pension fund members. This includes collective investment vehicles or asset owners which pool the savings of many (e.g. insurance companies, pension funds
form, and should indicate when the statement was last reviewed. It should include contact details of an individual who can be contacted for further information and by those interested in collective
spouse or a minor child of such person; (b) an individual or a company holding majority shares of such person, which means: 1. an individual or a company holding shares of such person in a number exceeding
underwriter in the following manners: (a) a spouse or a minor child of such person; (b) an individual or a company holding majority shares of such person, which means: 1. an individual or a company holding