GOVERNANCE TO A HIGHER LEVEL 2011 This work is published on the responsibility of the Secretary-General of the OECD. The opinions expressed and arguments employed herein do not necessarily reflect the official
SEC plans to revise criteria on the delegation of other persons to operate a business on behalf of the operators of securities, investment management, and derivative contract business in order to
in an audiovisual format in a bid to respond to the changing behaviors of investors, who tend to use the Internet more as a channel to receive information and do not spend as much time on reading
Commission No. OrNor. 7/2547 Re: Arbitral Process (No. 3) dated 13 October 2004. Clause 3. In this Notification: “respondent” means any of the followings: (1) a securities company; (2) a local share selling
: Arbitral Process (No. 3) dated 13 October 2004. Clause 3. In this Notification: “respondent” means any of the followings: (1) a securities company; (2) a local share selling agent; (3) a mutual fund
SEC plans to revise the criteria on the maintenance of the net capital (NC) of securities and derivatives business operator. SEC has, therefore, conducted a public hearing on this matter, in
jurisdictions and depending on context, for example remuneration or related party transactions, the Principles leave it to individual jurisdictions to define this term in a functional manner that meets the
Capital Market to Ensure its Efficiency, Fairness, Transparency, and Integrity” In order to accomplish the above mission, in 2001, the Strategic Plan (2001 - 2003) had been formulated to draw a clear
for public comment. The SET and BoT follow similar procedures, and all seem to take feedback into account. The SEA had a number of significant amendments in 2008. Key changes include clearer director
. Accordingly, customers repatriating their funds before such time would be entitled for only a two-third refund for the amount. The 30 percent reserve requirement had a severe impact on the stock market; the SET