capital market. The SEC employs a collaborative approach to build relationships with and ensure engagement of relevant stakeholders. (2) Define clear intended outcomes within the scope of the SEC’s
should be consistent with the rule of law, transparent and enforceable. If new laws and regulations are needed, such as to deal with clear cases of market imperfections, they should be designed in a way
stakeholders’ rights; · To review whether draft notifications are authorized by law, and the contents are consistent with other regulations of a similar sort, clear and practical; · To go
. Therefore, we issued rules to limit commentaries via the mass media only to qualified analysts with sufficient experience. The SET is required to seek clear and timely clarification from listed companies that
the method for electing boards, staggered board terms, and other mechanisms that frustrate cumulative voting, should be prohibited. Efforts by private-sector institutes, organisations and associations
choose a default investment plan for members, for example, a life path-oriented plan that would adjust members? investment portfolios automatically and appropriately as they approach the retirement age
to allocate their savings into investment properly Increase institutional investors as a vehicle to expand wider groups of investors SCE_Eng_p.17-32 10/29/04, 1:07 AM17 18 ● Adopted risk-based approach
following matters: (1) good governance and clear, transparent organization structure; (2) effective risk management for legal, credit, liquidity, operation, and other risks, with measures to appropriately
practical knowledge and skills in the area of securities law enforcement; ë Risk-Based Approach Supervision Seminar - an in-house training for the SEC staff with guest speakers from the UK Financial Services