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
Handling Procedure Samples of Documents or Evidence Matters under Supervision of Other Laws Whistleblower Inquiries Complaint Forms Complaints / Whistleblowers Matters under the SEC
and work systems to ensure orderliness, fairness, efficiency and reliability of market activities, and support appropriate fundraising, investment and securities trading to promote continuing growth of
contribution to the country's growth and development. The assessment covers various aspects of the financial system, including banking, securities and insurance sectors, payment and settlement systems, monetary
• Mutual Fund Management ○ Advertising ○ Procedure for Incorrect Pricing ○ Procedure for the default by Issuer ○ Transaction with Connected Person ○ Liquidation ○ NAV Calculation
in a shareholders' meeting 17. Dividend payment 18. Fees 19. Procedure for dissolution of mutual fund 20. Relaxation of rules 21. Additional rules for guaranteed funds 22. Additional rules for a