necessary to carry out their roles on the board and board committees. Principle 3.9 The board should ensure that it can perform its duties effectively and have access to accurate, relevant and timely
approaches to regulate debt securities. These approaches include: Approval – issuers are required to apply for the approval to offer debt securities for sale. This will allow the SEC to carry out a preliminary
, and that intermediaries and their employees will carry out their operation responsibly pursuant to professional and ethical standards. · Criminal sanctions : The procedure can be carried out
, and that intermediaries and their employees will carry out their operation responsibly pursuant to professional and ethical standards. · Criminal sanctions : The procedure can be carried out
securities and derivatives is to ensure that both counterparties will carry out their agreed trading agreement. Therefore, it is necessary to have a clearing and settlement system whereby a clearing house
securities and derivatives is to ensure that both counterparties will carry out their agreed trading agreement. Therefore, it is necessary to have a clearing and settlement system whereby a clearing house
directors in updating and refreshing their skills and knowledge necessary to carry out their roles on the board and board committees. Guidelines 3.8.1 The board should ensure that newly appointed
operating securities business in the category applying for the license, and other businesses as permitted by the SEC; (3) be able to show that its operational system will be prompt for operating securities
operating securities business in the category applying for the license, and other businesses as permitted by the SEC; (3) be able to show that its operational system will be prompt for operating securities
; (2) not have financial condition that is likely to cause damage or any other circumstances that show its financial hardship; (3) within three years preceding the year of filing application toward the