pros and cons and the costs of compliance 4. Seek approval for the measure from SEC Board/CMSB/SEC Office 5. Conduct public consultation on the measure: focus group meetings/public hearings This
case of a complaint related to services of a securities or asset management company under the SEC supervision, first of all, the complainant should contact the compliance unit of the company directly
as a juristic person or as a group of persons; (3) a copy of financial statement of the latest three years, or, in case of a registered group of persons, profit and loss statements of the latest
Unfair Securities Trading Practices Prevention of Unfair Securities Trading Practices SHARE : Detail Content Group 1: Information disclosure that may cause damage to investors and capital market 1.1
Introduction SHARE : Detail Content Class Action is a type of civil proceedings whereby one or more plaintiff brings a civil lawsuit in order to protect the right of oneself and a group of persons who have the
). Independent Director An independent director is a non-executive member and does not have a pecuniary relationship with the company. He or she must be independent from the major shareholders or a group of
, community Step 2: Addressing the issue related to each group of stakeholders - Human rights, welfare for employees - Product safety, fair treatment - Legal compliance, social development Step 3: Selecting
management. 5.4.3 The board should ensure that IT security policies and procedures are in place. Explanation A company’s governance of enterprise IT should cover: (1) Compliance with relevant law and