understanding of their roles and building their readiness for discharging duties more efficiently and effectively. Additionally, the SEC reviewed the accuracy of financial reports of listed companies, supervised
forwards. Over 300 companies have enrolled in the project. Investors play an important role in the capital market and overall economy of the country, but the SEC has observed that investors are still plagued
of investor’s wealth creation and the fund raising of issuers. SEC supervised the intermediary and has collection of annual fees at the current rate for some time.SEC, therefore, has a plan to revise
following Divisions and Departments: 2.1 Enforcement Division comprises Enforcement Department, Litigation Department and Administrative Appeals Center, supervised by Assistant Secretary-General
as well as licensees which cease business operations.For financial institutions supervised by other lead regulators and licensed to operate securities or derivatives businesses, such as commercial
continuously encouraged and monitored the improvements of both the quality of audit firms and that of individual auditors and we have noted that auditors and audit staff who belong to audit firms with effective
operating result – Relative to last year quarter’s, Loss Ratio had dropped by 8.64% (From 67.87% to 59.23%). Underwriting had been more selective. Sales associated with high risk clients had been monitored
firms made for each TSQC1 element might differ due to factors such as corporate cultures and their different strengths, we were fairly satisfied with the significant improvements observed in most aspects
monitored with professional investment advices. If investors encounter any solicitation to transfer money into an account of securities firm, whether or not it is the firm that investors have already opened
monitored with professional investment advices. If investors encounter any solicitation to transfer money into an account of securities firm, whether or not it is the firm that investors have already opened