determine a violation and take an action on any individual or firm, the SEC would investigate and gather information, facts and evidence concerning the violation. Generally, an alleged offender may clarify or
possible limit of individual freedom, regulation is essential to uphold market credibility and orderliness. Yet, the regulator’s exercising of power must be prudent, fair and only as necessary to protect the
which case a special committee will be appointed to consider the case and conduct an investigation to ensure transparency and fairness. Complaint Against SEC Complaint / Inquiries SEC Complaint Form SEC
Derivatives Broker Registered Derivatives Broker Securities Dealer Securities Companies and Other Financial Institutions Staff or Agent (individual) Acting as Investor Contact of the Company
handling of whistleblowing complaints, including the investigation, any remedial action, and reporting to the board. 6.5.3 The board should ensure that whistleblowers are protected from retaliation as a
directors’ respective roles and responsibilities, linked to their individual and company performance, and provide incentives for the board to lead the company in meeting its objectives, both in the short and
resembles the international supervisory framework. The audit quality control regulatory shall be performed at both individual auditor level and firm level. In order to enhance quality and reliability of the
terminated from employment because of their tip filing. ● Whistleblowers who wish to give inside information or useful evidence for SEC’s investigation shall be treated fairly and protected by law. Matters
Police or the Department of Special Investigation) for further investigation in accordance with the Criminal Procedure Code. After that, the inquiry official will conduct a further investigation and pass