approval to offer debt securities for sale. This will allow the SEC to carry out a preliminary scrutiny of qualifications of issuers for investors. Disclosure – issuers are required to make complete and
necessary to carry out their roles on the board and board committees. Principle 3.9 The board should ensure that it can perform its duties effectively and have access to accurate, relevant and timely
, and that intermediaries and their employees will carry out their operation responsibly pursuant to professional and ethical standards. · Criminal sanctions : The procedure can be carried out
consideration on which shall take the following factors into account; (a) difference of net assets and net liabilities shall not be less than paid-up registered capital in the amount specified in Section 96 of
condition or result of operation which the SEC may consider that the securities company severely suffers loss, the consideration on which shall take the following factors into account; (a) difference of
terms of the derivatives contract specification, etc. Clearing House An important part of trading in securities and derivatives is to ensure that both counterparties will carry out their agreed
directors in updating and refreshing their skills and knowledge necessary to carry out their roles on the board and board committees. Guidelines 3.8.1 The board should ensure that newly appointed
ESOP (the difference is that EJIP is based on existing shares, whereas ESOP involves issuing new shares for capital increase) Principles Creates returns to directors or employees Application of