operations involving supervision of market activities or monitoring of compliance with the stated laws, rules and regulations are generally managed within the SEC Office, except for licensing, which must be
Governance ● Revision of Rules on Approval for Public Offering of Shares and Information Disclosure by Focusing on Good Corporate Governance CONTENTS APPEN SCE_Eng_p.1-16 10/29/04, 1:05 AM2 3 ● Supervision of
Entities in order to Ensure Confidence of the Investing Public ■ Supervision of Market Intermediaries ■ Inspection of Listed Companies and Market Intermediaries ■ Regulation and Law Enforcement G OA L 4
believes that this Statement of Intent will aid the public and all capital market stakeholders to understand the SEC’s role and operations, and promote confident participants of the capital market. 2. Vision
serve as the basis for the Guidelines on corporate governance of banks issued by the Basel Committee on Banking Supervision, the OECD Guidelines on Insurer and Pension Fund Governance and as a reference
through new or amended regulations with practitioners to ensure their correct understanding and implementation, and to assign an officer to take care of each company under the SEC supervision. 2. Monitoring
through new or amended regulations with practitioners to ensure their correct understanding and implementation, and to assign an officer to take care of each company under the SEC supervision. 2. Monitoring
established entities to oversee state-owned enterprises (SOEs) (for example, Temasek Holdings in Singapore, Khazanah Nasional in Malaysia, and the State-owned Assets Supervision and Administration Commission of
85 87 88 102 102 103 Total staff: 422 2 Broker-Dealer Supervision Dept. 36 staff Market Supervision Dept. 9 staff Supervision Dept. 43 staff Supervision Dept. 29 staff Securities Business Senior
Objectives of the Supervision of Securities Clearing Houses and Central Securities Depositories Clause 2 A securities clearing and settlement system is a fundamental system which has connection to the