, led to an overhaul in international auditor supervision. The SEC has witnessed a shift from a system of Self-Regulatory Organization (“SRO”) under a professional body to a more stringent regulatory
), due to higher contribution of C-Vitt and COVID-19 impact. Higher proportion of C-Vitt in total portfolio distorted the overall gross margin as C-Vitt operates under joint venture model so profit is
company. - Review the company’s compliance with private sector’s anti-corruption and certification programmes, including the Collective Action Coalition Against Corruption’s Self-Evaluation Tool. - Issue an
Clause 15 The intermediary shall assign the capital market business personnel approved by the SEC Office under the Notification of the Capital Market Supervisory Board governing the Rules on Capital Market
distorted, incorrect or misleading to the clients; (5) in the case of giving information or advice to clients in a seminar, the requirements on giving investment advice at seminars shall be complied with as
distorted, incorrect or misleading to the clients; (5) in the case of giving information or advice to clients in a seminar, the requirements on giving investment advice at seminars shall be complied with as
when they establish their private contractual relations. This corporate governance framework typically comprises elements of legislation, regulation, self-regulatory arrangements, voluntary commitments
forthcoming liberalization within five years. Message from the Secretary-General 4 not only empowered businesses but also furthered the moves toward the SEC's much anticipated self- regulation. On social
accounting standards while auditors must work for audit firms that have a quality assurance system in place. In addition, the SEC encouraged trade associations to expedite its preparation for self-regulation
Industry and Be a Firm and Fair Regulator ● Proposed Changes of the Structure of the SEC ● Procedures for Issuing Rules and Regulations Governing the Capital Market ● Roles of the SEC as Law Enforcement