establish a mechanism for handling complaints and whistleblowing. Guidelines 6.5.1 The board should oversee that an effective mechanism is in place to record, track, resolve, and report complaints
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providers will have a duty to oversee proper securities trading. For example, information must be disclosed before and after trading for investment decision-making, trading must be regulated for smoothness
beginning of 2020. Most respondents were in favor of the regulatory updates and suggested that other regulations could be used to oversee fund management and provide investor protection. The
standards of conduct, especially the executives who oversee compliance of business operators in accordance with the law, standards and ethics of business operation, to build investors’ confidence
Following the concerns from the last public hearing in 2017 on the revision of the principles and regulations relating to the provident fund to resolve the issue that members did not have adequate
partial investment, granting the right of objection on material issues to REIT, having guidelines to resolve conflicts between REIT and investment partners, and providing a statement of opinions on
the application of the standards and how to co-operate to resolve such issues. Enhancing Efficiency of SEC officers The SEC prioritizes the continuous competency development of its officers as seen in