. Study international supervisory measures and standards 3. Conduct regulatory impact assessment: Analyze the pros and cons and the costs of compliance 4. Seek approval for the measure from SEC Board
) have measure to control and manage risks associated with business operation; (4) have effective measure on internal control with respect to business operation; (5) have operational system promptly for
) have measure to control and manage risks associated with business operation; (4) have effective measure on internal control with respect to business operation; (5) have operational system promptly for
faith Report to the SEC within five business days as from the date on which the mutual fund management company knows, and the report shall contain a corrective measure. / X X The votes of the
faith Report to the SEC within five business days as from the date on which the mutual fund management company knows, and the report shall contain a corrective measure. / X X The votes of the
that the capital market will be developed toward sustainable growth and generate positive impacts on the national economy. At present, there are six legislations administered by the SEC, namely: the
conflict of interest must not do business which is in competition with the company. There must be no related party transaction (RPT) or potential RPT or if there is, there must be adequate measure to manage
growth of the company by providing opportunity for directors and employee to take part in the ownership of the business. Positive gains of the company will also benefit the shareholders. However, the