rules applicable to securities companies and derivatives business operators market in general.(3) To specify rules on NC maintenance to be applicable to the business operators which also operate the
Appointing Independence Director of Securities Company or the Notification of the Office of Securities and Exchange Commission concerning Rules on Rendering a Waiver of Appointing Independence Director of
concerning Rules on Rendering a Waiver of Appointing Independence Director of Securities Company or the Notification of the Office of Securities and Exchange Commission concerning Rules on Rendering a Waiver
rendered a waiver of appointing an independent director under the Notification of the Office of the Securities and Exchange Commission concerning Rules on Rendering a Waiver of Appointing Independence
member jurisdictions, which emphasizes the independence from the accounting profession of regulatory body. The Principle was aimed at providing a guideline for IOSCO members to implement their supervisory
) Ethical requirement (ER): Compliance in this area was found insufficient in some firms, such as inadequate independence compliance testing due to the findings on incomplete identification of related parties
ex-officio Chairman, not to attend the Board meetings to ensure SEC independence. ** By virtue of Section 21 and Section 38(5) of the Act on the Administrative Organization of the State Affairs, B.E
directors? independence; 2) CSR in process: operating normal course of business with social and environmental responsibility while balancing stakeholder needs; 3) Anti-corruption in practice: being a role
forthcoming liberalization within five years. Message from the Secretary-General 4 not only empowered businesses but also furthered the moves toward the SEC's much anticipated self- regulation. On social
their highest benefit, support of financial service competition, transparent data disclosure and maintenance of financial stability, among others. Meanwhile, commercial banks’ customers, especially small