might occur between the company, management, directors, and shareholders. The board should also prevent the inappropriate use of corporate assets, information, and opportunities, including preventing
. 2. Proportion of IPO shares being allocated Sponsors: not more than 15 percent of the total number of IPO shares may be allocated to sponsors RP and staff of the company and subsidiary: n ot more
respecting and adhering to stakeholders’ rights should at least cover: (1) Responsibilities to employees, staff, and workers at least by adhering to applicable law and standards and providing fair treatment
/ Derivatives Businesses Securities Brokerage Securities Companies and Other Financial Institutions Staff or Agent (individual) Acting as Investor Contact of the Company D erivatives Agent Licensed
Contact us SHARE : Detail Content Complaints Please use this form in case of filing a complaint against SEC executives or staff for alleged improper or unfair duty performance, in
in 2. Comply with the SEC regulations. 3. Correcting the misspelling of name 4. Changing mutual fund supervisor 5. Reducing mutual fund fees or expenses (2) Amendments that might request an
in 2. Comply with the SEC regulations. 3. Correcting the misspelling of name 4. Changing mutual fund supervisor 5. Reducing mutual fund fees or expenses (2) Amendments that might request an
, executives and staff covers the following areas: Accountability Responsibility Equitable Treatment and Participation Disclosure and Transparency Internal Control and Internal Value Creation by Enhancing Market
holders, investment decision, or price of the securities might be impacted, the SEC will order the company to have a special audit on such financial statements and report the result of such audit to the SEC
human resources management and development programmes to ensure that the company has adequate staffing and appropriately knowledgeable, skilled, and experienced employees and staff. Principle 1 | 2