operation of the securities company. Risk to be taken into appraisal in risk management shall cover all kind of potential risk occuring in the operation of business; (3) to protect against the use of inside
downturn and normally performs ahead of the general GDP trend. As uncertainties lie ahead, the management focuses on mobilizing operational responses to protect revenue while managing cost to ensure
downturn and normally performs ahead of the general GDP trend. As uncertainties lie ahead, the management focuses on mobilizing operational responses to protect revenue while managing cost to ensure
concern to and to protect the best interests of clients should be encouraged, taking into account the following principles: (1) Duty of Loyalty (1) The management company should manage the investment in the
concern to and to protect the best interests of clients should be encouraged, taking into account the following principles: (1) Duty of Loyalty (1) The management company should manage the investment in the
for the account of the SEC Office. Section 15. To protect the public interest or investors, the SEC Office shall have the duty to disclose the information relating to any violation and penalty imposed
reason to doubt that the management mechanism will be unable to protect the rights of the shareholders or to treat the shareholders fairly. (2) roles, duties and responsibilities of directors, executives
; (2) acceptance of fees charged under this Emergency Decree. The fees under (2) shall be for the account of the SEC Office. Section 15. To protect the public interest or investors, the SEC Office shall
and reviewed regularly to guard against rising risk trends in line with market volatility, as well as appropriate for changes in regulatory requirements, business undertakings including domestic and
to protect the confidentiality of some types of information these entities share with them. To help achieve the objectives outlined in the IOSCO CRA Principles, which should be read in conjunction with