The MOU is a fruitful result of the collective cooperation of the four organizations in ensuring that their respective policies and oversight frameworks for personal data protection as well as

fiduciary duties owed to their clients would undermine the integrity of the industry and the capital market as a whole. The SEC will not tolerate dishonest conducts of market professionals who seek personal

With reference to a public hearing on the proposed revision to the IT Standard conducted between 14 June and 15 July 2024, the SEC received a wide range of valuable responses from stakeholders. The respondents’ feedback and recommendations were carefully considered for the drafting of relevant amendments.The SEC is conducting this public hearing on the proposed amendments to the IT Regulations and Guidelines, which cover the following key points:  (1) To reduce the submission frequency of IT aud...

. Every operating system Public task basis 3. Disclosure of Personal Data After the SEC Office has received personal data from other sources, the SEC Office has the responsibility to disclose your personal

personal data submitted via a system by a company or agent assigned by you, or prepared and submitted by the company to the SEC Office: Invitation letters for seminars, circulars, announcements; The

your personal data directly from you by collecting from: Seminars; The Enterprise Content Management System (ECM) of the SEC Office.) The SEC Office receives your personal data submitted via a system by

Sources of Personal Data The SEC Office receives your personal data from the following three sources: 1. The SEC Office receives your personal data directly from you by collecting from: 1.1 The system for

certifications of qualifications. ✓ ✓ ✓ ✓ 1.2 Sources of personal data The SEC Office receives your personal data submitted via a system of a company or agent assigned by you: Information on the approval for offer

? money intended for payments of investment unit purchases for personal gains.In so doing, they did not execute their clients' purchase transactions via the bank system, counterfeited fund passbooks and

responsibilities of personal and units shall be appropriately divided; (d) arrange to have information and communication system related to business conduct with internal and external sources in appropriate form and