Dissemination of Information Relating to Securities Offering Prior to the Effectiveness of Registration Statement and Draft Prospectus (No. 2)

Dissemination of Information Relating to Securities Offering Prior to the Effectiveness of Registration Statement and Draft Prospectus (No. 3)

corporate bond business that is usually subject to high costs and time-consuming, complicated processes. The DLT platform can reduce costs and increase efficiency, transparency and competitiveness of

efficiency and practicality for the industry. On the salesperson side, the focus will be to enhance quality by recategorizing sales licenses according to levels of risk and complexity of the products. The

utmost efficiency and effectiveness. In this regard, we trust that our effort will eventually bring about mutual benefit to our country as a whole.?  

providers, to be able to operate their businesses with more liquidity and effectiveness. The regulations also help business providers to dedicate their resources into excellent and appropriate goods and

and to ensure that the effectiveness of our inspection systems is on par with the international standard. We first joined the International Forum of Independent Audit Regulators (“IFIAR”) in 2010. The

preparing high-quality financial reports;Organizing appropriate internal control system, quality internal audit unit, along with monitoring the efficiency and effectiveness of risk management within the

will be beneficial for the Capital Market services accessibility . In the first phase,  SEC also has planned to  adopt the DLT to increase the effectiveness in accepting and enforcing collaterals in

increase overall effectiveness and efficiency of audit processes. In anticipation of the possible auditor shortage due to future market expansion, the SEC has partnered with the FAP and created the training