confidentiality and data protection. The SEC has put in place internal procedures to ensure that its exercise of powers and duties are consistently applied. Operational Risk Management The SEC has developed its
for reform in individual countries. 4 G20/OECD PRINCIPLES OF CORPORATE GOVERNANCE © OECD 2015 The Principles were originally developed by the OECD in 1999 and last updated in 2004. The current review
principles were developed cov- ering implementation and enforcement, and mechanisms that should be established for parties to pro- tect their rights. However, the Principles seek to minimise the risk of over
basic knowledge in personal money management and investment in the capital market. In 2001, the SEC has developed plan to use radio program, articles in magazines, and mobile exhibitions to promote the
................................................................................ Intermediaries ......................................................................................................................... Asset Management
financial instruments, risk management tools to support capital market development for business sectors, and greater investment alternatives for the public. These efforts have been driven concurrently with
Risk Management ● Development of Debt Instruments ● Development of New Financial Instruments ● Promotion of Issuance of Non-Voting Depositary Receipt (NVDR) Achieving Efficiency for the Secondary Market
the relationships among the management, board of directors, controlling shareholders, minority shareholders and other stakeholders. Good corporate governance contributes to sustainable economic
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
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