Corporate Finance 33 Broker-Dealer 36 Asset Management 43 Investment Adviser 48 Enforcement 53 Market 57 International Cooperation 60 Corporate Affairs Appendices 63 Capital Market Performance 2002-2004 69
................................................................................ Intermediaries ......................................................................................................................... Asset Management
increase engagement and representation of a broader range of market participants such as investment management companies, listed firms, institutions or associations whose main focuses are investor education
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capital market. The SEC employs a collaborative approach to build relationships with and ensure engagement of relevant stakeholders. (2) Define clear intended outcomes within the scope of the SEC’s
securities issuing companies disclose information, including financial statements, management structure, and risk management measures to enable investors, the media, and the SEC to monitor their operation
information that companies on a voluntary basis may include, for example in their management reports. VI) The responsibilities of the board; The chapter provides guidance with respect to key functions of the
implementation of appropriate risk management and resource allocation by their board of directors and executives that is practical and meets the standards established by an international organization concerning
Risk Management ● Development of Debt Instruments ● Development of New Financial Instruments ● Promotion of Issuance of Non-Voting Depositary Receipt (NVDR) Achieving Efficiency for the Secondary Market