SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous monitoring and coordinating with the business operators, we have found that they have implemen...
place for the nomination and development of the chief executive officer and key executives to ensure that they possess the knowledge, skills, experience, and characteristics necessary for the company to
Foresight and Effective Supervision: To be fully knowledgeable of relevant risks to support effective market supervision, and to enhance supervisory standards in regulating listed companies and commercial
knowledgeable of relevant risks to support effective market supervision, and to enhance supervisory standards in regulating listed companies and commercial banks giving services as selling agents of investment
according to the recommendation of the Nomination and Remuneration Committee since they are knowledgeable and experienced, which would benefit to the Company’s operations 6. Propose to the 2020 Annual General
according to the recommendation of the Nomination and Remuneration Committee since they are knowledgeable and experienced, which would benefit to the Company’s operations 6. Propose to the 2020 Annual General
subject to public oversight. 3. The system of public oversight shall be governed by non-practitioners who are knowledgeable in the areas relevant to statutory audit. Member States may, however, allow a
website: www.ppi-advisory.com to lure investing public that it had very knowledgeable and experienced adviser team to provide appropriate investment advice and management for the clients. The aforesaid
reviewing the adequacy of the internal control at least once a year. Extra revision may be necessary in case of any incidents which have significant impacts on the companies’ operations. Such assessment
with objective to provide more flexibility for investor who is knowledgeable in the business raising fund through equity crowdfunding as well as associated risks. On the business side, the issuers will