undisclosed except in the case of disclosure by virtue of law or for the benefit of the financial institution system or the public; (e) members shall not help or support fraudulently any act deemed to be an
accounts in undisclosed manner (omnibus account); (2) Derivatives position limit of customer at any time; (Translation) Page 3 of 3 (3) Derivatives position of customer that is still open (open interest); (4
quality personnel on audit quality, it becomes necessary for audit firms to maintain a robust system, ensuring that their staff at least meets the required levels of both competency and ethical standards
placing orders for several persons or through series of accounts in an undisclosed manner (omnibus account); (2) derivatives position limit of customer at any time; (3) derivatives position of customer that
placing orders for several persons or through series of accounts in an undisclosed manner (omnibus account); (2) derivatives position limit of customer at any time; (3) derivatives position of customer that
expects that this will contribute to the comprehensive utilization of capital market benefits. However, the SEC’s role does not involve preventing investor losses or ensuring compensation in the event such
industries, businesses and SMEs as well as relief for people who lose their jobs and incomes. The package also includes measures to stabilize the 3 financial markets by injecting liquidity and thereby ensuring
/uploads/2022/09/Asia-Engagement-Guide-2022-JP.pdf Corporate engagement in practice: investor feedback and quotes 6 Ensuring effectiveness: maintain an open dialogue • Engagements can be more fruitful when a
thoroughly considered to maintain a balance in terms of investor protection and competitive edge in the international arena. The SEC remains vigilant in fulfilling its roles and responsibilities, ensuring that
undisclosed information • Expand new investment opportunity & analysis in ESG & Intangible capital aspects & relationship • Improve risk/return, compared with SETTRI For Investor For Business/Company • To