with its returns and risk appetite. Risk management and control units are responsible for providing independent and objective views on specific risk-bearing activities to safeguard the integrity of the
for the nation, they are required to comply with relevant domestic and international rules and regulations at present and in the future. The latest trend focuses on consumer rights protection to ensure
, independent analyses and opinions by CRAs.2 This, in turn, is designed to promote the three core objectives of securities regulations identified by IOSCO: the protection of investors; ensuring that markets are
concern to and to protect the best interests of clients should be encouraged, taking into account the following principles: (1) Duty of Loyalty (1) The management company should manage the investment in the
Division 1; (b) the provisions relating to shareholders and protection as prescribed in Division 2; (c) the provisions relating to the management as prescribed in Division 3; (d) the provisions relating to
to others. these rights protect shareholders from dilution of value and control when new shares are issued. Shareholder agreement: An agreement between shareholders on the administration of the company
appropriateness and adequacy of the information to support investment decision making and the measures for investor protection. In this regard, the SEC Office may prescribe conditions with which the applicant shall
management measures above, the Group has implemented a series of actions to protect the health and safety of our customers and employees, including the following: restricting travel; use of technology for
handling of complaints and disputes, which also consider protection of complainants; (2) designate a unit or personnel to be responsible for handling of complaints and disputes; (3) monitor and examine