arbitration procedure between investors and market intermediaries, the introduction of regulations that requires all staff of market intermediaries who are in touch with investors to possess professional
improved relations with workers, creditors, and other stakeholders. Better investor protection can lower the cost of capital and encourage companies to list and raise funds through equity markets. It is
efforts in strengthening corporate governance in the industry. In the year ahead, countless different challenges are bound to arise and test our strengths, but I believe the SEC management and staff will
have been achieved. The capital market has developed and gone through a major turnaround in support of the country’s economic revival and sustained growth. Such advancement was reflected in the increase
/5447/1#5447 act-sea2016-no5.pdf , legal advisor, asset appraiser or any other person whose duties are related to inside information, including employees, workers or colleagues of the aforesaid persons
effective protection against retaliation for employees who report problems and abuses. To preserve and promote reputational goodwill, board members (and policy-makers) should not only take into account the
oriented growth companies and to balance any increase in leveraging. The updated G20/OECD Principles of Corporate Governance (the Principles) therefore provide a very timely and tangible contribution to the
on Appointment of Selling Agent to Increase Securities Distribution Channels ● Investor Education Program 31 GOAL 2 Promote and Develop Mechanism to Empower Investors ● Promotion of Good Corporate
85 87 88 102 102 103 Total staff: 422 2 Broker-Dealer Supervision Dept. 36 staff Market Supervision Dept. 9 staff Supervision Dept. 43 staff Supervision Dept. 29 staff Securities Business Senior
Official Information Act: Persons to whom requests for information are made/persons who request information /employees/persons who receive letters/names of officers who request information from the Office of