supervision 2.6 Quality Assurance & Review Increasingly, complicated transactions in the financial market especially those in connection with listed companies and intermediaries such as securities houses have
information to the investors, representing the financial position and operating performance of the entities in the capital market, and is one of the most crucial factors to enhance investor confidence in the
world, has enhanced the SEC’s ability to cooperate and request information from other jurisdictions, which will ultimately enhance the SEC’s enforcement capabilities. This reflects SEC’s continued
Investor should engage with the Investee Company to improve the company’s ESG performance. Leading international organisations and countries have promulgated principles for investment governance. Adoption of
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provision is to ensure that CFOs and chief accountants will consistently enhance their knowledges and competency. In this connection, the SEC issued a practice guideline in attending the training sessions as
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