such, impractical and outdated regulations will be revised to support underwriters? performance with trustworthiness and responsibility to investors, which will eventually build up their own credibility
regulations. Whereas the laws or regulations that are no longer necessary or outdated, or become obstacles to public livelihood or occupation will be repealed or revised to eliminate burden on people and
In the past, SEC had been approving securities business operators to assign outsourcing in other operations related to businesses for the effectiveness and flexibility of the operation. Business
Exchange Commission (SEC) urges digital asset business operators to give priority to cybersecurity and to assign a responsible person to oversee this matter to ensure continuity of service provision and
therefore urging digital asset business operators to emphasize the importance of cybersecurity on a continuing basis and to assign a responsible entity to oversee the matter to ensure that they can provide
assign their authorization to the CFO? 3 Whether the firm has designated a Quality Control partner who takes ultimate responsibility for the firm’s QC system? If yes, Does the firm leadership provide the
. Such resolution is to assign director of WCIH to allocate the remaining shares of the first allotment of 43,109,380 shares. It also entrusted director to determine the subscription date and payment
phone, the investment consultant must keep complete record of those orders as evidence for examination and source of orders. In this regard, the SEC urges the clients not to assign the investment
conveying the client's consent to assign the private fund management company to arrange such matter. 1.3 The private fund management company shall invest according to the client's instructions, provided that