as its ethical performance and impact on stakeholders, society and the environment. 1.2.2 The board should assume a leadership role in creating and driving a culture of compliance and ethical conduct
promotion and development ; the Capital Market Supervisory Board issuing rules and regulations; and the SEC Office executing the supervisory policy to ensure compliance with and enforcement of the rules and
Governance As an agency with missions for promoting, developing and supervising the capital market, the SEC strives to ensure transparency and credibility of our own operation as well as fairness to all
recommendations on corporate governance and sustainable development, risk management, compliance with other applicable laws and regulations including the SEC anti-corruption policy and internal control. This is to
to compliance with relevant laws and regulations, listed companies should study institutional investors’ ethical trading guidelines as reference for further developing the quality of their companies
well as considering the operation, compliance with the law, rules, and regulations, investigating and inquiring, and any other act in accordance with the missions of the SEC Office so as to ensure
and expecting fair procurement and contracting, including fair contract or agreement conditions, providing access to training, developing potential and enhancing production and service standards in line
supervising securities businesses; 3. The SEC Office implementing policies, inspecting licensed/approved corporations and individuals, and developing financial products. Meanwhile, the Audit Committee
forth by the SEC Board and supervise compliance and enforcement of the securities laws. The SEC Office is headed by Secretary-General who is appointed by the Cabinet upon the Minister of Finance’s