, report or relevant document to the SEC Office within appropriate period, whether general or case-by-case basis without excessive burden to the intermediary, in order to monitor the compliance with this
securities company is part of the financial conglomerate which has shareholder structure, internal audit and supervise by the official agency as SEC has prescribed, the Office shall have the authority to waive
deceases, resigns or SEC has annulled the approval, or securities company is part of the financial conglomerate which has shareholder structure, internal audit and supervise by the official agency as SEC has
market and help build investors’ confidence. Relevant public and private institutions will continue to work together, monitor the situation, and provide additional measures to ensure the normal and
board. The chairman’s duties should at least cover the following matters: (1) Oversee, monitor, and ensure that the board efficiently carries out its duties to achieve the company’s objectives. (2
promote, develop and supervise trust for transactions in the capital market. Such power and duty shall include: (1) the issuance of rules, regulations, notifications, orders, directives or stipulations
The SEC shall have the power and duty to formulate policies to promote, develop and supervise trust for transactions in the capital market. Such power and duty shall include: (1) the issuance of rules
SECTION 8 The SEC shall have the power and duty to formulate policies to promote, develop and supervise trust for transactions in the capital market. Such power and duty shall include: (1) the issuance of
services to an indirect client (tiered participant) who is a juristic person, securities clearing houses and central securities depositories shall also supervise and monitor potential risks of these members