) Rectifying the operation under work systems, i.e., the trading system, the deposit and withdrawal system for money and digital assets, the client assets information system, the client contact and
prescribed thereunder by SEC Board, CMSB or SEC Office; or (2) Rules that get insignificant revision while maintaining the original essence such as reclassification of subject matter or correcting
selling and redemption investment units (c) Increasing in selling agent (d) Increasing in frequency of (e) Decreasing in 2. Comply with the SEC regulations. 3. Correcting the misspelling of name
) to provide experts? advice on possible solutions for correcting audit work deficiencies.Note to the Editor: The Independent Audit Inspection Activities Reports from 1 January 2013 to 31 December 2015
for rectifying the qualifications to be affiliated with an audit firm that meets the requirement of four auditors at a minimum, from 180 days to one year. The consultation paper is available at
dilution, is crucial for their decision making. The SEC has therefore ordered MORE to clarify the facts and provide rectifying measures in the matter. 2. MORE disclosed that the purpose of the capital
the CPD records? 9 Does the firm maintain the list of persons who didn’t comply with the mandatory and firm’s CPD targets and its plan for correcting the situation? 10 Whether CPD/training is covered in
rectifying the financial conditions or operations of such digital asset business operator. If the digital asset business operator fails to comply with the second paragraph, or in the case of repeated non
specified period of time for the rectification. In this regard, the SEC may also specify any condition to be complied with by the digital asset business operator for the purpose of rectifying the financial