Agency ● Internal Management 57 Board of the SEC 58 Appellate Committee 59 Sub-committees and Steering Group 66 Arbitrators 67 Executives Officers 68 Capital Market Performance 2001-2003 72 Investigation
as well as the deliberations of a Working Group in May 2010. The report was en- dorsed by consensus at the annual meeting of the Asian Roundtable, 3-4 October 2011 in Bali, Indone- sia. The next phase
the Board. She obtained a B.A. and an M.A. in Economics from Keio University, Japan and a Ph.D. in Economics from Washington University, USA. She was Deputy Governor, Financial Institutions Policy Group
development by enhancing the performance of companies and increasing their access to outside capital. The OECD Principles of Corporate Governance provide the framework for the work of the World Bank Group in
consider in what qualifications directors and top executives should be elected. A director who is independent from the major shareholders or the group of major shareholders and has the full qualifications
may be affected; · To study international supervisory measures or standards and analyze their pros and cons; · To consult with the practitioners by arranging focus group
may be affected; · To study international supervisory measures or standards and analyze their pros and cons; · To consult with the practitioners by arranging focus group
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
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
responsive to the different needs of market participants without unfairly advancing the interests of any particular group to the disadvantage of others; Promptly deal with identified issues and misconduct