companies.In protecting the best interest of investors, the SEC is proposing to amend such rules to provide a clearer practical guideline for fund management and more room for investors to consider potential
monitoring the business operations and for a proper investment making-decision in a reasonable period of time. In addition, SEC has issued a guideline on information disclosure for listed companies
) communications with clients An intermediary shall pay due regard to the information needs of its clients , and communicate information to them in a way which is clear, not distortion and not misleading; (11
clients An intermediary shall pay due regard to the information needs of its clients, and communicate information to them in a way which is clear, not distortion and not misleading; (11) clients
due regard to the information needs of its clients, and communicate information to them in a way which is clear, not distortion and not misleading; (11) clients’ relationships of trust An intermediary
-Process (KYP) due diligence. This is to ensure that clients who are foreign securities companies acknowledge and understand the relevant regulations and effectively communicate these regulations to their
environmental action plan in place. Additionally, they must communicate progress on these matters to investors according to specified criteria. 2. To strengthen the roles and responsibilities of AMCs: In
SEC, thus providing basic information for investors’ decision making and self-protection against capital market frauds. The mobile app is also a convenient channel for the SEC to communicate and keep
-corruption or anti-involvement-in-corruption policies through the 56-1 One Report.Regarding future cooperation, the SEC and relevant agencies will jointly communicate further with listed companies on good
material contents as contained in the guideline for risk disclosure statement attached to this Notification. In disclosing risks relating to trading derivatives under the first paragraph, an intermediary