prevent mutual funds from being exploited for any other benefit than those which ought to be obtained from the investment. At present, the number of investment units held by any person or any associated

, for example, has changed significantly recently. Since last December, SEC has informed SET to monitor the trading activities of such shares closely to protect investors and prevent distortion of the

transactions showing the issuer's relation with other persons who may have a conflict of interest, measures to prevent such conflicts and oversight of improper transfer of benefits, and (4) the management's

determination of cornerstone investor as institutional investor would help to prevent share allocation to investors whose inappropriate trading behaviors may affect public confidence in the capital market

Under the SEC’s policy, digital asset business operators are not allowed to provide or support deposit taking and lending services to prevent possible damage to digital asset investors and the public

consultant and client in case of disputes or complaints as well as prevent problems resulted from such trading orders, thereby enhancing market confidence as a whole."

ensure business continuity and prevent damage caused by deficient information security ?Currently, operating business of listed companies no longer deals with economic prosperity alone. Rather, managing

client's damage. {A}'s misconduct was a failure to provide material information or warning statements to prevent investors? benefits from being compromised. He also failed to abide by professional ethics of

. In addition, the SEC has recommended the ASCO to revise its KYC/CDD guidelines as well as propose the guidelines for securities transfer between clients so as to prevent fraudulent activities or

where service provider is unable to perform the outsource activities; and (iii) measures to prevent conflict of interest are also required. For outsourcing to a company in corporate group which is a