management, compliance, and internal audit based on the principles of the Three Lines of Defense to ensure the effectiveness of securities company oversight and to further promote recognition of the
of listed companies, as well as other policy directions that would help reduce challenges to accessing capital sources and carrying out the responsibilities of listed companies. The goal is to ensure
. Principle 5.2 The board should encourage management to adopt responsible operations, and incorporate them into the company’s operations plan. This is to ensure that every department and function in the
regulations, the internationally-accepted standards will be applied to the regulatory impact assessment (RIA) to ensure that problems will be solved effectively and only necessary regulations will be issued. In
. Drafting single form is based on the principle of gathering necessary and sufficient information to ensure provision of appropriate services in compliance with the law, and to provide ease of filing for
a digital wallet management system to accommodate efficient custody of digital assets and keys* and ensure safety of clients’ assets. The regulations cover the following requirements: (1) Policy
industry growth. Over the years, the SEC and the TDO have collaborated to promote the use of digital assets as a fundraising tool, ensure appropriate investor protection, and develop guidelines for
securities. SEC has taken measures to enhance the efficiency of the bond market ecosystem and so far has made progresses in certain areas.” To ensure that the policies, directions, goals and key guidelines
developing and enhancing oversight of listed companies and strategies for preventing and suppressing inappropriate behaviors within listed companies to ensure that they would be able to raise fund from
, BOT and SEC received valuable and useful comments from various stakeholders including governmental and private sectors, civil society, academic sector and international organizations. Most of the