compromising appropriate investor protection and convenience for business operation.The SEC therefore proposes to amend the regulations related to granting of approval to appraisal companies and lead
digital assets safely. They should also have learnt about DA operators’ asset keeping for their risk assessment and service decision-making. In this regard, the SEC is proposing criteria on information
A. RAP and HR Planning A.0 Risk Assessment Process for Resources element: Firm's Reference /Guidance Notes Description 1 What are the quality risks in Resources element that the firm considers as
Approval of Appraisal Company and Lead Appraiser Contributing [Asset Evaluation] for Capital Market Transaction
documentation of risk assessment process (the risk profile tables) in excel format. The risk profile shall include (1) quality objectives (2) quality risks and (3) responses for all relevant elements of TSQM 1
supervision and risk assessment of intermediaries and the monitoring of industry development, to prevent excessive burdens on securities and derivatives intermediaries.The proposed revision covers the reporting
relating to asset appraisal regarding capital market transaction is significant and has impact on making investment decision of the public, appraisal requires a knowledgeable, capable and responsible person
include requirements for information technology governance and auditing by IT specialists. It also outlines the timeline to submit the IT audit report and IT Risk Assessment results, which must be