improved supervisory standards in many areas, including debts offerings, communicating expectations for securities business intermediaries to provide standard services for clients? best interest (putting
the capital market personnel**. The SEC has been communicating with all securities companies and their compliance units as well as the Association of Securities Companies (ASCO) to emphasize the
guidelines for integrating corporate governance practices and ESG (environment, social, and governance) conceptinto listed companies? business operations. The SEC is communicating the benefits of CG/ESG
Notification on Standard Conduct of Business , an intermediary shall operate a system for communicating with and providing services to clients pursuant to the details in this Chapter. Clause 5/2 The provisions
on Standard Conduct of Business, an intermediary shall operate a system for communicating with and providing services to clients pursuant to the details in this Chapter. Clause 5/2 The provisions in
and adequately throughout the period of participating in the regulatory sandbox ; (b) assessing and managing potential risks from service provision; (c) having procedures for communicating and providing
throughout the period of participating in the regulatory sandbox; (b) assessing and managing potential risks from service provision; (c) having procedures for communicating and providing services to clients
communicating and providing services to clients with details covering the operation specified in Clause 4; (d) having a plan to report the results of the experiment and progress of service provision to the SEC