capital market supervision is crucial and necessary. The regulations under this Notification set a standard for operation of securities clearing houses and central securities depositories so that their
practitioners in their efforts to take corporate governance to a higher level. Indeed, the 2008 worldwide financial crisis reminded Asia and the world of the critical importance of strong corporate governance to
Notification. “critical function” means any activities related to services, transactions or any other functions of an intermediary, the disruption of which would significantly affect customers, business
strategies for the development and promotion of duties and self-discipline within securities companies – a critical responsibility for everyone, including the board and management, customer service, risk
cashier boxes and at dispensing areas in order to boost the confidence of customers. In terms of personnel, the company has made preparations in terms of personnel, daily operations, IT system crucial to
Notification. “ critical function ” means any activities related to services, transactions or any other functions of an intermediary, the disruption of which would significantly affect customers, business
Dialogue ...................................................................................... 16 Building Trust Is Critical for Effective Engagement
gathering related documents and evidence for auditor. Considering that financial statements provide investors and shareholders with vital information for making investment decision and monitoring listed
market personnel including new types of capital market personnel required to obtain the SEC?s approval due to their vital responsibilities having high impact on the clients. The approval will be applicable