, (4) management override of internal controls, (5) fabrication of accounting transactions in the information system by using the executives’ privileged access right to alter information, and (6

regulatory objectives include:  to maintain and promote the fairness, efficiency, competitiveness, transparency and orderliness of the securities and futures industry;  to help the public understand the

security of the computer server. In a case appeared that having operate or alter abnormally the parameter, it shall be improve and report instantly. [M] · Providing a service as necessary. In case of

method or compliance guideline for inspect the security of the computer server. In a case appeared that having operate or alter abnormally the parameter, it shall be improve and report instantly. [M] o

significantly alter the returns and risks of the fund, for example, the calculation and announcement of asset value, unit value, subscription and redemption prices. The consultation paper can be

operating crowdfunding portals. The supervised areas include measures and implementation against conflicts of interest, member data storage, disclosure of issuer information, issuer compliance monitoring

financial difficulty and unable to maintain adequate net capital as prescribed. The revised rules include rectification period, restriction of business operations during rectification period and undertakings

submit the financial statements for Q3/2017 within the specified period. The amount of fines does not include daily fines starting from the day following the settlement date to the day the company properly

promote, develop and supervise trust for transactions in the capital market. Such power and duty shall include: (1) the issuance of rules, regulations, notifications, orders, directives or stipulations

The SEC shall have the power and duty to formulate policies to promote, develop and supervise trust for transactions in the capital market. Such power and duty shall include: (1) the issuance of rules