Internal control regulations and review of investment solicitation guidelines

All financial investment businesses in our country are regulated by the Capital Markets Act. However, the Capital Markets Act is not only extensive in content but also consists of a 4-stage structure of law-enforcement decree-enforcement rule-agency guidelines, making it difficult for managers to interpret.

For financial startups that need to pioneer new markets and respond quickly to external changes, the complex and difficult Capital Markets Act can appear as an obstacle hindering business development. Company A sought Law firm Veat to revise its internal control regulations to fully meet the requirements stipulated in the Capital Markets Act.

The Capital Markets Act details the internal control procedures and regulations that financial investment firms must have to protect financial consumers, and includes provisions that allow for administrative sanctions if these internal control mechanisms are not in place. Law firm Veat, with its extensive experience in advising on the Capital Markets Act, was able to draft the internal control regulations required by the Capital Markets Act quickly and accurately.

This process reflected the latest laws and agency guidelines, and Company A was able to significantly reduce potential legal risks.

Thank you.

Law firm Veat