access to information sources that are vital to the operations or to review any transactions as required. For example, the company assigned contact personnel for providing other information except those
. Considering that financial statements provide investors and shareholders with vital information for making investment decision and monitoring listed companies’ performance, the SEC did not grant a waiver for
statements. Considering that financial statements provide investors and shareholders with vital information for making investment decision and monitoring listed companies’ performance, the SEC did not grant
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
Analysis...................42 Framework and Focuses in 2017...................44 Essential Statistics...................47 Executive Summary The quality of financial reporting plays a vital role in promoting
, according to higher cost. Moreover, to keep market share, company needed to launch price promotion in vital channel. Financial results of 9-month ended period ● Considering year to date result, total sales
knowledge in accordance with the guidelines for renewal of approval for investor contacts as prescribed by the Office. The prescription is to ensure that investor contacts who play vital roles in the capital
investor contacts who play vital roles in the capital market will pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This
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