of the Attorney General (OAG) for criminal prosecution. In enforcing the law using the above channels, the SEC takes the due process approach based on legal principles and available evidence while
of the Attorney General (OAG) for criminal prosecution. In enforcing the law using the above channels, the SEC takes the due process approach based on legal principles and available evidence while
.......................................................... 51 G20/OECD PRINCIPLES OF CORPORATE GOVERNANCE © OECD 2015 9 About the Principles The Principles are intended to help policy makers evaluate and improve the legal, regulatory, and institutional
recommendations to improve corporate governance. Based on the OECD Principles of Corporate Governance, the White Paper adapted implementation aspects to the specific conditions of Asia. The White Paper assessed
. Suggestions will be considered to improve the rules so that they do not impose burden on issuers in practice. For example, scripts may be submitted for SEC’s approval instead of audiovisual clips
company directors and management for the purpose of monitoring and imposing administrative sanctions ● Closely monitored listed companies’ involvement in inappropriate connected transactions Improve quality
fair and orderly markets, ensure regulatory convergence with international standards and improve efficiency of information disclosure of securities issuers in compliance with good corporate governance
will closely coordinate with the SET to monitor stock trading activities and solve the problem in advance. Another aspect of the supervisory task is to improve risk management procedures of securities
Department is in charge of reviewing the SEC's compliance and giving advice on how to improve the internal control system. For operational independence, the department is subject to direct reporting to the
choose a default investment plan for members, for example, a life path-oriented plan that would adjust members? investment portfolios automatically and appropriately as they approach the retirement age