suspects the investors of involvement in an offense of money laundering or financial support to terrorist. The assets are seized or sequestered by the authority. (8) The SEC is empowered to instruct the
step ensures that the measure to be taken is appropriate, practical and respectful to stakeholders’ rights 6. The proposed rule is considered by the relevant sub-committee The sub-committee members
integrity. The SEC also oversees regulatory compliance and enforces the governing laws to ensure that the capital market will be developed toward sustainable growth and generate positive impacts on the
within three business days and about action plans to be taken at the discretion of the mutual fund management company in the best interest of the unitholders. The remedial measures should be performed and
to generate benefits from the property Manage the trust according to the trust instrument and relevant laws Calculate and disclose the asset value of the trust and the units Maintain the property in
issuers will be taken into consideration along with the disclosure of financial positions and operating results in the prospectus. Credit rating agencies are considered to have the responsibility of
, etc. There are two types of administrative actions taken by the SEC Office, namely: Administrative order issued in accordance with the governing laws when a regulated person fails to maintain
general public. Furthermore, we encourage uses of FinTech to generate financial solutions, and to serve as an aiding tool for financial planning under the framework “Five Steps to Investment with