confidence in publicly disclosed corporate financial information. The Securities and Exchange Act of 1992 requires that the auditor of the entities in the capital market be approved by the SEC so that the SEC
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
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
level depending on knowledge and virtue to achieve the goal of balance, prosperity and sustainability of individual well-being and the society at large. In other words, by adhering to this
level depending on knowledge and virtue to achieve the goal of balance, prosperity and sustainability of individual well-being and the society at large. In other words, by adhering to this
level depending on knowledge and virtue to achieve the goal of balance, prosperity and sustainability of individual well-being and the society at large. In other words, by adhering to this
level depending on knowledge and virtue to achieve the goal of balance, prosperity and sustainability of individual well-being and the society at large. In other words, by adhering to this
Financial Institutions Staff or Agent (individual) Acting as Investor Contact of the Company Derivatives Dealer Licensed Derivatives Dealer Securities Investment Advisor Securities Company and Other
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
Market As stakeholders in the capital markets are diverse, the SEC strives to create conducive environment for all stakeholders to benefits from the capital market with confidence. The major groups of