Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries

Approval of Auditors in the Capital Market

Pursuant to Section 6(3) and Section 8(1) of the Royal Decree No. 750 issued by the Revenue Department, any VC or PE Trust wishing to receive revenue tax exemption is required to notify its VC or PE Trust status with the SEC. The SEC is therefore conducting the public hearing on the proposed principles and draft relevant notifications, requiring VC or PE Trust preferring revenue tax exemption to notify its respective status with the SEC in accordance with the rules, conditions, procedures as wel...

long information disclosure forms. This idea was well supported from both business operators and investors. SEC is therefore seeking opinions on the draft notification before it becomes into effect

Following the concerns from the last public hearing in 2017 on the revision of the principles and regulations relating to the provident fund to resolve the issue that members did not have adequate information to understand before selecting their investment policy, SEC had then discussed with relevant departments to revise the details of such regulations, in order for the provident fund members to select their appropriate choice of investment policy, which would result in a sufficient grow...

Following the concerns from the last public hearing in 2017 on the revision of the principles and regulations relating to the provident fund to resolve the issue that members did not have adequate information to understand before selecting their investment policy, SEC had then discussed with relevant departments to revise the details of such regulations, in order for the provident fund members to select their appropriate choice of investment policy, which would result in a sufficient grow...