the uncertainties stemming from economic recession. However, our capital position – as of the end of the first quarter of 2020 – remained robust. As evidenced, capital adequacy ratio (CAR) of
legislation. Rather, they seek to identify objectives and suggest various means for achieving them. The Principles aim to provide a robust but flexible reference for policy makers and market participants to
, as well as to supervise, matters concerning securities, securities businesses, the Securities Exchange, over-the-counter centers, and related businesses, organizations related to securities business
have the power and duty to formulate policies to promote and develop, as well as to supervise, matters concerning securities, securities businesses, the Securities Exchange, over-the-counter centers, and
or complex characteristics issued and offered for sale in an ASEAN country. “agricultural commodity trading management official”2 means a person assigned by derivatives investment manager to supervise
risk management. 4. There should be an establishment of a compliance unit to supervise and monitor the operation that is independent from the management and other units. 5. Operation conducted with
risk management. 4. There should be an establishment of a compliance unit to supervise and monitor the operation that is independent from the management and other units. 5. Operation conducted with
the Office of the Securities and Exchange Commission concerning Granting of Approval of Financial Advisor and Scope of Work, and monitor, supervise and give advice to 17 the applicant regarding
accordance with the first paragraph shall be specified by the SEC. SECTION 14. The SEC shall have the power and duty to formulate policies to promote and develop, as well as to supervise, matters concerning
Clause 21, shall supervise and give advice to the securities issuer regarding duty performance after the offer for sale of securities, particularly the duties in the following matters, during the period of