investors are appropriately protected, while the business sector and market operators achieve competitiveness through development of various investment products and services. In this regard, the SEC has
such means as change of position, type of work or work location. Whistleblowers shall be treated fairly and protected by law. For example, they shall not be suspended, threatened, interfered with work or
handling of whistleblowing complaints, including the investigation, any remedial action, and reporting to the board. 6.5.3 The board should ensure that whistleblowers are protected from retaliation as a
resembles the international supervisory framework. The audit quality control regulatory shall be performed at both individual auditor level and firm level. In order to enhance quality and reliability of the
enhance audit quality of financial statements of entities under the SEC oversight to ensure confidence on financial reporting disclosed to the public. The SEC requires the auditor in the capital market to
establishment of Green Investment Trust to support national sustainability goals and regulatory amendments to enhance trading orderliness measures 02/08/2024 Download All Document No. 157/2024 SEC imposes civil
Detail Content Announcement of Signatory of the I Code Signatories to the I Code 1. Why become a Signatory to the I Code? The announcement to become a Signatory to the I Code would enhance adherence
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
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