SEC plans to revise criteria on the delegation of other persons to operate a business on behalf of the operators of securities, investment management, and derivative contract business in order to
Protection Policy applies to the business operators who have been licensed by the SEC Office, the market professionals who have been approved by the SEC Office, other persons approved by the SEC Office, as
the relationships among the management, board of directors, controlling shareholders, minority shareholders and other stakeholders. Good corporate governance contributes to sustainable economic
of the Roundtable will focus on how to change behaviour to achieve better out- comes. This commitment to excellence in corporate governance matters not only to Asia. The growing economic influence of
other intermediaries; This is a new chapter which addresses the need for sound economic incentives throughout the investment chain, with a particular focus on institutional investors acting in a fiduciary
securities trading system and other relevant systems of the Stock Exchange. Meanwhile, an information technology system is necessary for securities clearing houses and central securities depositories to
Appellate Committee 70 Sub-committees 76 Other Committee and Steering Groups 78 Arbitrators 79 Procedure for Investigation of Possible Contraventions of the SEC Act and Criminal Action 81 Financial Statements
Other Related Entities in order to Ensure Confidence of the Investing Public ● Supervision of Market Intermediaries - Securities Companies - Asset Management Companies - Inspection - Supervision of those
to Seek Compensation ■ Amendment to the Regulations Relating to Rights of Shareholders in Public Offering of Securities G OA L 3 Promote Integrity of the Market, Intermediaries, and All Other Related
highlight investor protection measures through our proposal of the draft Amendments to the SEA, which were approved by the National Legislative Assembly in December. We also put forward other legislations