approval to the proposed amendments. The proposed amendments contain the following essences: (1) Board governance structure : Requiring DA operators – except DA advisors and the DA operators holding
behavioral finance in issuing the regulations. For instance, the regulations governing investment consultants and investment planners making direct contact to the customers have been strengthened by requiring
on this key step to safeguard the environment and spur sustainable national economic development. • Achievement of this goal is a testament to the strong leadership and commitment of the government and
emerging market situations.SEC has proposed to revise the guideline on maintaining liquidity of fixed income funds in order to match their redemption and settlement policies by requiring fixed income funds
SEC has revised rules to make it easier for companies to engage in this business, for example, abolishing the rule requiring unit-selling agents to sell investment units of different management
in the part of employments and activities of directors and executives of listed companies. The proposed amendment aims to enhance disclosure of information by requiring that directors and executives of
their own discretion in choosing RMF or LTF destination funds if the transfer criteria are clearly disclosed beforehand in the fund scheme for the unitholders? information; - Requiring asset management
well as post-sales processes, by requiring intermediaries to improve effectiveness of internal communication with their salespersons and laying down effective monitoring system to ensure service quality
SEC issues a notification of the capital market supervisory board revising rules regarding the establishment of audit committee of securities companies by requiring a securities company keeping its
the proposed amendment and the draft regulations. The proposed amendment is summarized as below: 1) the current regulation requiring DA operators to submit each advertisement piece and