offences in the capital market, all of which would greatly improve the chance of success in law enforcement and prevention against violations in the capital market. The workshop was held on 15 to 16
to investors.The proposed revision aims to improve the quality and readability of the disclosed information via fund prospectus and fact sheet, and to ensure that investors will have necessary and
. Suggestions will be considered to improve the rules so that they do not impose burden on issuers in practice. For example, scripts may be submitted for SEC’s approval instead of audiovisual clips
investors? best interest. This regulatory revision is part of the SEC?s three-year strategic plan to improve the overall market ecosystem regarding capital market product governance. The key points of
amendments to the handling of conflicts of interest rules to improve efficiency of the securities offering process, which include preventive measures and disclosure measures to support investors
would improve the financial reporting forms used by such intermediaries to meet the following objectives: ?1.? To comply with the revised financial reporting standards of the Federation of Accounting
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
services to protect investors’ asset and stringent supervision on asset separation to keep private funds safe without asking for the approval of being custodian again. Such move will improve flexibility
improve flexibility in business operations and encourage business operators to set effective standards of custodian services.Besides, to prevent private funds’ assets may be seized according to the legal