upcoming challenges and trends affecting the country’s financial sectors due to the rapidly changing scenarios. The SEC Strategic Plan is also designed to further pursue capital market developments towards
materially affect investors’ investment decision such as 1. serious damages 2. changing in issuer’s objects or the nature of business 3. events of default 4. entering into an agreement entrusting other persons
Their Finances More Resilient to the Ever-changing Context?” with a view to emphasizing the importance of money management knowledge and skills to cope with the unexpected in life. Key messages to be
following rules: (1) Changing of a mutual fund supervisor, in the case that the mutual fund supervisor fails to correct the qualifications within a specified period. (2) Calculation and announcement of net
operators and comply with the changing financial reporting standards. It also amends certain disclosure requirements in the financial statements reporting forms to reduce burdens and costs of securities
provide a measure for protecting information security and computer system and network which is sufficient for preventing an unauthorised person from accessing, acknowledging, utilizing or altering such
, utilizing or altering such information or system. Clause 7. The securities company must provide a controlling measure which is sufficient for the developed or modified application software to have a correct
results in creating, altering, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or any person
act which results in creating, altering, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or