The spread of COVID-19 pandemic since March 2020 has resulted in severe volatility in debt and equity markets around the world, and consequently stimulated investment outflows from mutual funds and affected the stability of the global financial system. Due to this circumstance, international regulators have decided to issue liquidity measures.Realizing the importance of liquidity risk management process of mutual funds, the SEC encourages asset management companies to strengthen the effic...
use of individual user IDs and passwords to maintain accountability; (2) allow users to select and change their own passwords and include a confirmation procedure to verify input errors; (3) require
attempt log regularly, etc. 2. In order to comply with Clause 20(3)(c), the intermediary should consider putting in place the relevant procedures as follows: (1) require the use of individual user IDs and
Re: Guidelines for the Book Building and the Determination of Offering Price to Public and Individual
Re: Guidelines for the Book Building and the Determination of Offering Price to Public and Individual (No. 2)
auditor rotation, aiming to enable the audit committee to appoint an independent individual to be its auditor and promote the auditors to truly maintain their independence.
Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
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