role on investor?s investment decision. Accordingly, the SEC supports the commercial banks to emphasis on their service quality and staff training on financial planning to become a key service provider
requirements to emphasize the importance of corporate governance practices and corporate social responsibility and the disclosure thereof. The SEC also supports training to enhance knowledge and experiences of
anti-corruption measures, e.g., refusal to pay bribery, no involvement in corruptive attempts and sanctions against those who do, as well as communication and staff training with respect to anti
Investors from the Provisions of Public Offering for Sale of Securities dated 12 August 2012 shall be repealed. Chapter 1 General Provisions _________________________ Division 1 Scope of the provisions
be approved by the SEC Office upon full compliance with the following criteria: (1) the applicant is the issuer of depositary receipts in accordance with the criteria specified in Division 1 of this
in compliance with Division 3 Treatment of Customer Property and Division 4 Protection of Customer Property of Chapter 2 of the Derivatives Act. Clause 9. In case the derivatives fund manager is the
shall be in compliance with Division 3 Treatment of Customer Property and Division 4 Protection of Customer Property of Chapter 2 of the Derivatives Act. Clause 9. In case the derivatives fund manager is
of Units of Foreign ETF ------------------------- Division 1 Filing of Application for Examination -------------------------- Clause 3 Any person intending to request an examination of characteristics