SEC plans to review the operation system that the securities business operators and derivative contract business operators have adopted for some time in the operation and provision of services in order that the operation system will be more appropriate and flexible and in line with various types of business models. The operation system will also reduce burdens and obstacles in the business operations, with a view to grouping the relevant regulations of the operation system and the provisi...
branch managers, and (4) enhance efficiency of investor protection by requiring business operators to ensure office branches appropriately accessible to investors, and inform clients sufficiently in
power to supervise the providers of infrastructure services which use digital technology to improve the efficiency of transaction process in the capital market. Therefore, SEC is seeking comments from
views of regulator and regulated persons. Meanwhile, better communication will allow stakeholders to learn of purposes, objectives and benefits of the regulations which must also be responsive to their
service innovation, (3) regulatory reform and enforcement, (4) financial literacy promotion, and (5) organizational efficiency. To further the 2011 efforts, the SEC blueprint lays out five key strategies to
, increasing fundraising efficiency and business opportunities, enhancing competitiveness, and building market infrastructures for the digital age.?The SEC is becoming an adaptive regulator for the future of
) reaching out to all parties to allow businesses and the public to make greater use of the capital market; (2) building a strong foundation for sustainable development, (3) increasing the efficiency of the
capital market regulator, the SEC understands the need to study the market landscape, competition structure and business undertaking of the securities business operators including the trends and factors