promote, develop and supervise trust for transactions in the capital market. Such power and duty shall include: (1) the issuance of rules, regulations, notifications, orders, directives or stipulations
SECTION 8 The SEC shall have the power and duty to formulate policies to promote, develop and supervise trust for transactions in the capital market. Such power and duty shall include: (1) the issuance of
The SEC shall have the power and duty to formulate policies to promote, develop and supervise trust for transactions in the capital market. Such power and duty shall include: (1) the issuance of rules
interest of our members. Principle 3: Oversee asset managers to make informed investment decisions and engage in active ongoing monitoring of investee companies. Investment decisions should take into account
interests of the company with good faith, care and diligence, for the benefit of shareholders, while having regard to relevant stakeholders. 1.2 Responsibilities The board is accountable to shareholders and
compliance with applicable law and standards. Principle 6.5 The board should establish a mechanism for handling complaints and whistleblowing. Guidelines 6.5.1 The board should oversee that an effective
and an executive shall: (1) act in good faith for the best interest of the company; (2) act with proper purpose and; (3) not act in significant conflicts with the interest of the company. 1.3.2
providers will have a duty to oversee proper securities trading. For example, information must be disclosed before and after trading for investment decision-making, trading must be regulated for smoothness
beginning of 2020. Most respondents were in favor of the regulatory updates and suggested that other regulations could be used to oversee fund management and provide investor protection. The
standards of conduct, especially the executives who oversee compliance of business operators in accordance with the law, standards and ethics of business operation, to build investors’ confidence