follows: Protection of shareholders' right and fair treatment of shareholders Transparent and fair shareholding structure; Directors, executives and major shareholders do not have conflict of interests or
achieve three core objectives of securities regulations: (1) protecting investors, (2) ensuring that markets are fair, efficient and transparent, and (3) reducing systemic risks. IOSCO Principles comprise
respecting and adhering to stakeholders’ rights should at least cover: (1) Responsibilities to employees, staff, and workers at least by adhering to applicable law and standards and providing fair treatment
SEC is rather to ensure fair treatment and that investors have sufficient tools to protect their own rights. The SEC has used important measures in building confidence of investors as shareholders or
possible limit of individual freedom, regulation is essential to uphold market credibility and orderliness. Yet, the regulator’s exercising of power must be prudent, fair and only as necessary to protect the
The board should demonstrate a thorough understanding of its leadership role, assume its responsibilities in overseeing the company, and strengthen good governance, including: (1) defining objectives
demonstrate a thorough understanding of its leadership role, assume its responsibilities in overseeing the company, and strengthen good governance, including: (1) defining objectives; (2) determining means
Fund Management) Circular Letter No. SEC (Wor) 24/2552 Re: Clarification for Understanding of Private Fund Management Establishment of Mutual Funds Cross-border Offering of Funds Offering of Investment