) monitoring the investee companies closely and actively; (4) escalating stewardship activiities, when appropriate; (5) disclosing voing policy and the results of voting activities; (6) volunteering collective
securities and derivatives companies. The regulations would contribute to improved standards and appropriate practices, allowing access to important information for investment decision making. Comments and
Under the existing regulations, each business operator allows to prepare the customer complaints’ handling report in its own style and classify the type of complaints as it deems appropriate. Such
rules and not seek trading advantage through possession of price sensitive information. Where appropriate and feasible, they may consider formally becoming insiders in order to support a process of https
%20Investor%20Responsibilities_2013.pdf abuse rules and not seek trading advantage through possession of price sensitive information. Where appropriate and feasible, they may consider formally becoming insiders
. Otherwise, the SEC will not consider granting any more extension and will proceed with appropriate actions as deemed necessary. The SEC has therefore instructed SAM to submit the special audit report
the consistency and cybersecurity that is appropriate and sufficient to protect against possible risks from cyber threats. _____________________________
will then recommend to the Cabinet a person considered appropriate to be appointed as SEC Secretary-General.For more information, please contact Legal Counsel and Administrative Law Department, the SEC
competitiveness in the international market; the collection criteria would be simplified in appropriate proportion to the business size and volume of each type of intermediaries. In any case, minimum and maximum