such incident ……………………. (attachment) (if any) O No (5) Was removed from office of director, manager or person with managing power of other securities company under section 144 or section 145 of the
policies, regulations, and guidelines for supervising the trading of derivatives by the employees in order to prevent the illegal use of internal information by the employees and conflicts of interest in the
The derivatives broker shall put in place policies, regulations, and guidelines for supervising the trading of derivatives by the employees in order to prevent the illegal use of internal information by
The derivatives broker shall put in place policies, regulations, and guidelines for supervising the trading of derivatives by the employees in order to prevent the illegal use of internal information by
3; (3) preventing and managing conflicts of interest, as specified in details in Chapter 4; (4) communicating with a client and providing services to the client , as specified in details in Chapter 5
the role of ensuring that the board fulfills its critical role of overseeing management. One of the most important tasks for the chair or the lead independent director is setting the agenda for board
screening eligible companies and overseeing their information disclosure. The SEC does not grant an approval for each crowdfunding project or supervise pre-offering disclosure. To be eligible for a funding
CMDF would be responsible for policy making and overseeing that market development efforts would proceed in the same direction with transparency, accountability and good governance. SEC Secretary-General
interest of which the three agencies are responsible for overseeing.
cases of corporate fraud; Supervising business operators to take care of investors with fair and reliability; Educating and warning investors to ensure they have sufficient knowledge for decision making