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
; 4. Online job application; 5. Acceptances and referral of cases; 6. Processes relating to security management of computer and information center and management of SEC internal security; 7. Profiles of
. shareholder agreements typically cover rights of first refusal and other restrictions on share transfers, approval of related-party transactions, and director nominations. Withdrawal rights: withdrawal rights
. Study international supervisory measures and standards 3. Conduct regulatory impact assessment: Analyze the pros and cons and the costs of compliance 4. Seek approval for the measure from SEC Board
, prior to taking such an oppor- tunity, such persons should disclose to, and receive approval from, the company‟s board or shareholder meeting. Decision-making procedures should be clarified and
, approval for issuance and offering of securities, and the review of issuing company auditors' working papers and listed companies' financial statements. (3) Finance and Financial Statements ë Reviewed the
, registration and reporting and information dissemination online. The SEC developed intelligence information system, internal alert system, market analysis system, together with other IT systems to improve work
. Suggestions will be considered to improve the rules so that they do not impose burden on issuers in practice. For example, scripts may be submitted for SEC’s approval instead of audiovisual clips
exchange and clearing house, and the licensing requirements which are in the process of approval ● Prescribed licensing rules for derivatives brokers, dealers, and fund managers ● Prescribed rules for the
complaints, as detailed in Chapter 8; (8) approval of rules or regulations, as detailed in Chapter 9; (9) preparation and disclosure of financial statements, as detailed in Chapter 10; (10) retention of