covers draft operational procedures rules in case of failure to meet the requirement. The draft amendments aim to (1) support intermediaries in maintaining sufficient capital suitable for the nature of
also be reasonable and not resulting in a similar situation as non-operation. The regulations aim to ease the flexibility of the operation of business providers by reporting to SEC after outsourcing
aim to strengthen supervision on capital market business operation. Lessons learned from both organizations’ experience on cases with widespread impacts on the stakeholders were also shared for
September 5, 2023 with the aim at boosting the expansion of mutual fund investor base through the increase of investment knowledge and promoting mutual funds as an attractive savings option at the "Mutual
operators. The revised regulations require the said licensees appoint independent directors to perform their duties with honesty and trustworthiness for customer interest and thus aim to ensure efficient
intermediaries. These proposed rules aim to provide sufficient and material information for investors? decision making, and to promote salespersons? thorough understanding of the products they offer as well as
of the accounts. The requirements aim to better reflect actual financial status and debt repayment capability of every client thereby enhancing securities companies? risk management and thus preserve
debentures, bills of exchange (B/E) and derivative warrants (DW), allotment to the related persons will be allowed in the similar manner as that to general investors. The revised regulations aim to strike a
Companies Concerning the Connected Transactions, 2003, dated 19 November 2003 (as amended), the company will comply with the rules. 1.3 General Characteristic and Size of the Transaction 1.3.1 Characteristic
, policy and operating plan of the company and units of the company should be clearly prescribed and conform to the fiduciary duties and good corporate governance with an aim to enable the management company