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
relevant ethics. 5. Having a performance appraisal system of personnel for every unit. 6. The personnel should have knowledge and understanding of the responsible work e.g. the compliance officer should have
educational background and related work experience. Such personnel should not have record in violation of the relevant ethics. 5. Having a performance appraisal system of personnel for every unit. 6. The
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