decision on appropriate forms of alliance with foreign counterparts to support future trading linkage;2. Supervision of Securities Business: Licensing provisions would be amended to grant the Securities and
Statistical Highlights Audit Committee Statement Report on Internal Control over Financial Statements Financial Statements Appellate Committee Arbitrators Sub-committees 2 3 4 6 8 11 21 27 30 34 41 50 58 70 76
Supervision Group • responsible for ensuring that all securities companies and related associations are qualified for conducting their businesses by having sound financial conditions, proper internal control
on the internal control system in key operating areas to assure that objectives in supervision is met with efficiency, effectiveness, transparency and fairness. Moreover, there are measures in
One Report ESG Issues AGM FAQ Capital market professionals/gatekeeper CSR Whistleblower Audit committee About us Overview Detail Content SEC Roles C oncept “Supervision” is the core
One Report ESG Issues AGM FAQ Capital market professionals/gatekeeper CSR Whistleblower Audit committee About us Overview Detail Content SEC Roles C oncept “Supervision” is the core
Governance ● Revision of Rules on Approval for Public Offering of Shares and Information Disclosure by Focusing on Good Corporate Governance CONTENTS APPEN SCE_Eng_p.1-16 10/29/04, 1:05 AM2 3 ● Supervision of
, administrative orders, and administrative sanctions; 3. Information Technology Audit and Cyber Risk Supervision and inspection of information technology risk of business operators ✓ ✓ ✓ ✓ ✓ ✓ 1. Disclosure of
oversight to strengthen investor protection mechanisms digital token holders.The SEC has therefore amended the regulations governing supervision of real estate -backed ICO, as part of the short-term
provide effective oversight and investigative capacity which will need to be appropriately funded. The ability to attract staff on competitive terms will enhance the quality and independence of supervision