assets have been in custody of the intermediary , the administrative system shall be provided adequately in order to protect the client ’s assets and comply with the specific Notifications stipulating
shareholders or give inappropriately more benefits than other shareholders; 2. being unlikely to be able to protect shareholders’ rights by allowing any person to receive financial gain beyond what should be
water may be impacted to a larger extent However, all sectors will be exposed to risk. As a systemic risk factor, it is important for ALL companies to consider what other sectors or infrastructure they
capital market and the execution of transactions related to the capital market are efficient, transparent and protect investors’ interest, and to accommodate changes in the capital market and the
plaintiff brings a civil lawsuit in order to protect the right of oneself and a group of persons who have the same rights deriving from the same facts and legal principle. In 1995, Class Action was
possible limit of individual freedom, regulation is essential to uphold market credibility and orderliness. Yet, the regulator’s exercising of power must be prudent, fair and only as necessary to protect the
possible limit of individual freedom, regulation is essential to uphold market credibility and orderliness. Yet, the regulator’s exercising of power must be prudent, fair and only as necessary to protect the
authorize an agent or any other person to perform a specified act. SECTION 24/1.4 To protect the public interest or investors, the SEC Office or the person designated in writing by the SEC Office shall have
. SECTION 24/1.4 To protect the public interest or investors, the SEC Office or the person designated in writing by the SEC Office shall have the duty to disclose information concerning issuance or offering
Activity Report 61En INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2018 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2018 Executive Summary....................................................................................02 Quality Assurance Review Panel........................................03 Activities for Enhancing Financial Reporting Quality.................................................................................................07 Summary of Audit Inspection Results A. Firm-Le...