characteristics of personnel in the capital market business as well as major shareholder of securities company and derivatives business operator.   SEC places a crucial importance on operating business and

and auditors play a crucial role in giving investors a rise to signal irregularity in a company through its financial statements. In particular for sizable listed companies and securities companies

assume risk) × A combination of risk preference and risk capacity is an ideal 10 11 g “At the onset of retirement, investment advisors make crucial recommendations to clients concerning asset allocation

) assumes crucial roles starting from establishing a trust, to filing an application with the SEC for approval of an offer for sale of units of the trust, and to managing the trust.    Regulatory Summary

indeed come at a crucial time amidst the COVID-19 pandemic as this crisis has not only been an accelerating factor for innovation and digitalization of market participants to cope with its impact but has

attract and retain well-qualified personnel. Remuneration plays a crucial role in establishing and maintaining the culture of an organisation. This means that institutional investors will need to consider

submit the pooled fund data report on the essential information about each investment policy of a pooled fund in a dataset format to the SEC so that the pooled fund data would be processed and made

company disclose false essential information or conceal any facts of which the shareholders should be notified.  T aking legal proceedings to claim for damages or the lost benefits to a company, when

select from. In so doing, the SEC Board would take into account the candidates’ possession of essential knowledge and experiences for managing the SET operation to ensure the SET stability, credibility and

comments on the draft amendments to the relevant regulations,** with the essential points as follows:            (1)  Requiring the audit firms in the capital market to maintain a minimum of four