standards. 2 Statement of Intent (2017) The capital market plays an important role in society and the national economy. The SEC, as a capital market regulator, strives to enhance the wellbeing of people by
cooperated with the Association of Securities Companies in its issuance of the code of conduct on relationship with clients. Brokers must closely monitor clients’ trades and ensure the quality of advice given
changing international accounting principles. In developing market infrastructure to enhance local players' competitiveness on the global arena, the SEC encouraged securities companies to initiate novel
Information ● Supervision of Professionals Who Provide Information for Investors ● Development of Laws or System to Enhance Investorûs Rights 41 GOAL 3 Promote Integrity of the Market, Intermediaries, and All
monitor, control, and manage risks to ensure that these risks can be handled; (3) sufficient funding, appropriate systems and rules for membership and supervision of members to ensure efficient securities
plans and procedures for the SEC including development of operational guidelines, systems to identify, assess, monitor, control or minimize risks and record keeping and reporting system. The Division also
, protection of investors? rights, and/or good governance, and (3) granting the SET Board of Governors the power to allow trading access to non-members of SET, which would enhance SET to have flexibility in its
facet of this structural change was corporate governance reform. Indeed, the years since the Asian financial crisis of 1997 have seen many countries in Asia enhance and transform corporate governance
circumstances change, the different provisions of the corporate governance framework should be reviewed and, when necessary, adjusted. Countries seeking to implement the Principles should monitor their corporate
as the reform of market institutions and infrastructure to enhance their effectiveness and efficiency. Furthermore, the Plan gives high priority to the systematic promotion of good governance in all