means any legal entity obtaining the license to undertake securities business which is not: (1) any legal entity supervised by any other governmental agencies before obtaining securities business license
all stakeholders to benefits from the capital market with confidence. The major groups of stakeholders and their expectations from the SEC are defined as follows: Stakeholders in the Capital Market
Operators > Asset Management Regulations Regulations SHARE : Detail Content A Gathering of all Asset Management Regulations Regulated Entities ○ Licensing/Registration • Mutual Fund Management
, 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
signatories for the benefit of clients in choosing Asset Managers. Other Institutional Investors who are not regulated by the SEC, and who follow the I Code, are also encouraged to notify the SEC with the
Details Regarding the Services with Specific Features Provided by Securities and Derivatives Business Operators (No.3) The Notification of the Office of the Securities and Exchange Commission No. SorThor. 2
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
to support such policy? 3. Has the company's inspection ever revealed dishonest acts of its employees or executives? If so, how has the company dealt with such cases? And what are the company's