SEC plans to revise criteria on the delegation of other persons to operate a business on behalf of the operators of securities, investment management, and derivative contract business in order to
SEC plans to revise the criteria on the maintenance of the net capital (NC) of securities and derivatives business operator. SEC has, therefore, conducted a public hearing on this matter, in
OECD Principles of Corporate Governance as well as the OECD Guidelines on Corporate Govern- ance of State-Owned Enterprises. In addition to being a valuable venue for networking and knowledge-sharing
in an audiovisual format in a bid to respond to the changing behaviors of investors, who tend to use the Internet more as a channel to receive information and do not spend as much time on reading
agent; (3) a mutual fund supervisor; (4) a private fund custodian; (5) a derivatives business operator; “claimant” means any person who is caused damage by the act of the respondent or any other person
supervisor; (4) a private fund custodian; (UNOFFICIAL TRANSLATION) - 2 - (5) a derivatives business operator; “claimant” means any person who is caused damage by the act of the respondent or any other person
authorities. In particular, new emphasis is placed on the quality of supervision and enforcement. The chapter also includes a new principle on the role of stock markets in supporting good corporate governance
businesses and FinTech startups to make the most of financial innovations, but also promote a full-scale digital economy.?The FinTech Draft Act contains four core matters: (1) strengthening the confidence in
The SEC is proposing to amend the regulation on filing the application for establishment and management of mutual funds by allowing electronic submission of all required documents through the Online
the BoT has issued a range of supporting regulation. The State Enterprise Policy Office (SEPO) in the Ministry of Finance is responsible for state owned enterprises (SOEs), including listed companies in