integrity. The SEC also oversees regulatory compliance and enforces the governing laws to ensure that the capital market will be developed toward sustainable growth and generate positive impacts on the
Clients. Princ iple 3: Make Informed Investment Decisions and Engage in Active Ongoing Monitoring of Investee Companies. Principle 4: Apply Enhanced Monitoring of and Engagement with the Investee
to generate benefits from the property Manage the trust according to the trust instrument and relevant laws Calculate and disclose the asset value of the trust and the units Maintain the property in
-licensed asset management companies that are responsible for managing funds on behalf of their clients and Asset Owners through an investment mandate and generate returns for them. Asset Owners
general public. Furthermore, we encourage uses of FinTech to generate financial solutions, and to serve as an aiding tool for financial planning under the framework “Five Steps to Investment with
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
asset is generating or expected to generate revenue of not lower than 80% of the total income of the aggregate entity. Investment categories An IFF can choose to invest in following categories as