company, to make it clear that an outside person who does not have access to internal information will make the purchase order. EJIP accounts must be separated from personal accounts for clarity and
. The SEC considers qualifications of securities issuers and supervises the disclosure of information in order for the investors to have sufficient information in making an investment decision
interests Conflict of interests Solutions Related party transactions The pricing of the RPT must be determined with reference to the market price; A clear contract and policy is made; Fair
name appears in the SEC Office's approved listed. Regulatory summary Related rules and regulations Related forms Regulatory Summary Duties and scope of work of appraisers In order to value the asset
be authorized by law; the contents shall be clear, practical and consistent with final-considered measure. 9. Conduct public consultation on the draft notification: This step ensures that the draft
in the name of mutual fund as follows: 1. Provide clear guidelines for exercising of voting rights for the best interests of the mutual fund; 2. Exercise voting rights at shareholders' meetings in
in the name of mutual fund as follows: 1. Provide clear guidelines for exercising of voting rights for the best interests of the mutual fund; 2. Exercise voting rights at shareholders' meetings in
, etc. There are two types of administrative actions taken by the SEC Office, namely: Administrative order issued in accordance with the governing laws when a regulated person fails to maintain
2.2 Securities trading by taking advantage of the information related to a trading orders of securities or derivatives of any client before completing the order of such client (Section 244/1 and
2.2 Securities trading by taking advantage of the information related to a trading orders of securities or derivatives of any client before completing the order of such client (Section 244/1 and