SEC studied regulations in other countries to find proper guidelines for supervision, focusing on standardized services and putting investors first. The matter is still under the discussion with
politely ask the shareholders to post further inquiries on the matter of their concern after the meeting to allow other matters on the agenda to be considered for the sake of all shareholders'. Q: Is it
must not have behavior showing any objectives to engage in investment advisor business and must be registered with SEC. Even though the investment planners are waived in this matter, they are required
period, as previously issued, included a qualified opinion, a disclaimer of opinion, or an adverse opinion and the matter which gave rise to the modification is unresolved ( 2.3.1 corresponding figures are
of audit firms has been an ongoing challenge, as a result of high turnover rates, coupling with low interests in this profession. With this concern in mind, the SEC and the Association of Chartered
such as push selling or unsuitable distribution of financial products are found as a common area of concern arises in many jurisdictions, which poses challenge to the regulators. In this view, members
regulations determining practices to propose agenda items by shareholders and to solicit proxies from shareholders. SEC, therefore, plans to issue regulations on these matters to promote uniformity in the
business operators to contribute to the society, SEC is going to issue a notification to allow social enterprises, including their shareholders, to make public offerings without prior approval or
SEC studied regulations in other countries to find proper guidelines for supervision, focusing on standardized services and putting investors first. The matter is still under the discussion with
(by issue) ( 11 record(s) found) No. Report Name Data File As of Data Definition 1 Initial Public Offering : Bond (by issue) 2023 2 Initial Public Offering : Bond (by issue) 2022 3 Initial Public