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stakeholders, the SEC implements the following procedure: · To assess the importance of matters to be under preventive regulations without which the reliability or efficiency of the capital market
stakeholders, the SEC implements the following procedure: · To assess the importance of matters to be under preventive regulations without which the reliability or efficiency of the capital market
Handling Procedure Samples of Documents or Evidence Matters under Supervision of Other Laws Whistleblower Inquiries Complaint Forms Complaints / Whistleblowers Matters under the SEC
fining by the Criminal Fining Committee, and (b) criminal prosecution per the process of judgment. Most of the violations against the SEC administrated laws are processed by criminal action. 1. Criminal
on Ease of Doing Business by World Bank SHARE : Detail Content T he World Bank discontinued the Doing Business Report in September 2021 and is in the process of establishing an alternative indicator to
on Ease of Doing Business by World Bank SHARE : Detail Content T he World Bank discontinued the Doing Business Report in September 2021 and is in the process of establishing an alternative indicator to
• Mutual Fund Management ○ Advertising ○ Procedure for Incorrect Pricing ○ Procedure for the default by Issuer ○ Transaction with Connected Person ○ Liquidation ○ NAV Calculation
• Mutual Fund Management ○ Advertising ○ Procedure for Incorrect Pricing ○ Procedure for the default by Issuer ○ Transaction with Connected Person ○ Liquidation ○ NAV Calculation
related to day-to-day operation, for instance, business judgment, issues relating to staff or internal operation; ● Complaints under the process of the court’s consideration or cases having reached final