Upon the review of the Securities and Exchange Act, SEC finds that certain provisions of the law do not support the issuance of debt securities under the current economic situations. For example, the
said: “This is an insider trading case proceeded under civil sanction, filed with the Civil Court on 27 December 2018 and the Appeal Court passed the final rulings on 22 December 2020. If the defendant
and the share price changed quickly. Nevertheless, under the current criteria, posting the trading alert sign to warn investors to make investment decisions carefully is not required in this case. SEC
such rectification by allowing the financial statements to remain false, incorrect or inconsistent with the facts, they may be liable to commission of offenses under Section 312 of the Act. In any case
proposal to better manage business risks.The draft operational procedures rules for intermediaries which fail to meet the ongoing capital requirement are also under this public hearing.The consultation paper
Market Business Personnel dated 3 June 2014, and the prohibited characteristics of the capital market business personnel in Group 3 under Clause 31(1) of the said Act.Since the approval period for
under the concept of regulatory reform that SEC had used to revise multiple regulations.However, in regards of the draft regulations, SEC also held a meeting with relevant sectors, accumulated concerns
Under SEC’s proposed disclosure requirements, funds that invest in leasehold rights of real estates or in future revenue sharing contracts of infrastructure projects (leasehold funds) are required
, or business operators under the supervision of SEC, to have awareness of operating business with good governance, social and environmental responsibilities and respect for human rights. The priority