should be of a size that permits effective deliberation and collaboration and have adequate resources to perform their work. Board members should devote sufficient time and energy to their duties. There
business offenses became more efficient thanks to the close collaboration with relevant agencies and the improvement of investigation procedures. Fine settlement cases reached 80, up by 67 percent, with a
addition, B/E characteristics are unsuitable for issuance in the form of structured product. It thus should be under strict regulation to protect investors while offering other alternatives for fund
buyers. In addition, B/E characteristics are unsuitable for issuance in the form of structured product. It thus should be under strict regulation to protect investors while offering other alternatives for
the execution of electronic transactions which would be deemed as fully legitimate as normal transactions, for example, transactions related to businesses under the SEC supervision, subscription
involved agreed with the principles proposed by the SEC and added the principle of flexibility, in order that the business operators will be able to put this into practice effectively. The public hearing
SEC plans to revise the criteria on the maintenance of the net capital (NC) of securities and derivatives business operator. SEC has, therefore, conducted a public hearing on this matter, in
The SEC is proposing to amend the regulation on filing the application for establishment and management of mutual funds by allowing electronic submission of all required documents through the Online
additional clarity to others. While some of the Principles may be more appropriate for larger than for smaller companies, it is suggested that policymakers may wish to raise awareness of good corporate