investment units shall not be concentrated in the holding of any individuals or any groups of persons which could exercise power over fund management and exploit the fund for own benefits such as tax avoidance
investment units shall not be concentrated in the holding of any individuals or any groups of persons which could exercise power over fund management and exploit the fund for own benefits such as tax avoidance
, business partners, the community, society and the environment. In addition, innovation should not facilitate or result in unethical, non-compliant or illegal conduct by individuals or the company. Principle
and an executive shall: (1) act in good faith for the best interest of the company; (2) act with proper purpose and; (3) not act in significant conflicts with the interest of the company. 1.3.2
supervising securities businesses; 3. The SEC Office implementing policies, inspecting licensed/approved corporations and individuals, and developing financial products. Meanwhile, the Audit Committee
been known to have gigantic impacts even on the global market. To ensure the financial statements of those entities conform to accounting standards, auditing can no longer relies only on individuals but
necessary action can be taken; SEC treats all complaints equally, whether they are submitted by individuals or a group of individuals, and through any channels. Matters under the SEC Responsibility
. Firstly, the plaintiff who commences the case shall acquire the right to be a member of the class in good faith and intend to conduct the case to protect the interests of the class members. Secondly, the
administrative orders on individuals or juristic persons under the SEC's supervision, in other words, persons licensed, approved, or registered in accordance with the laws administered by the SEC. For example
. Execution of Agreements for Management of Private funds or Provident Funds 1.1 Provisions for the management of private funds for a client: (1) A client of a private fund shall comprise private individuals/a