empowered to achieve financial well-being. To deliver this objective, the SEC is compelled to adapt and refine its strategy and operations to effectively address the challenges and issues that have arisen
appropriate level of risks. To achieve such a goal, the SEC believes that investing in activities with emphasis on sustainability strategies, good governance and accountability to the society and environment
transfer orders from the unitholders. (5) In the case of fund dissolution, the mutual fund management company shall transfer the units to other RMFs without charging any fees. (6) In the case that the
. ● Documents relating to settlement / cash deposit to or withdrawal from a trading account, for instance: Bank statements used for ATS trading Deposit/withdrawal/transfer slip for purchasing securities
achieve its objectives. Principle 4.2 The board should ensure that an appropriate compensation structure and performance evaluation are in place. Principle 4.3 The board should consider its responsibilities
public and private sectors. Creating collaboration among all agencies in terms of concerted efforts to achieve the mission for well-being of the public. Our Roles How We Regulate SEC Working Principles
2019 whereby clients will no longer be able to purchase, sell or trade digital assets via Bitcoin website ( SEC News No. 105/2019 ) SEC warns BX clients to keep away from unsolicited transfer of
; (2) determining means to attain the objectives; and (3) monitoring, evaluating, and reporting on performance. Principle 1.2 To achieve sustainable value creation, the board should
achieve the national missions within the scope of assigned authority and under the related laws. Our Roles How We Regulate SEC Working Principles Our Policies Signatory of Investment Government Code (I