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
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
have an impact on the overall capital market, with the provision that the business operators must select a service provider from the list of service providers approved by SEC. In addition, the draft
governance frame- work. For instance, in Asia the prevalence of controlling shareholders might require more focus on independence of the board to monitor the management and effective protection of minority
securities issuing companies disclose information, including financial statements, management structure, and risk management measures to enable investors, the media, and the SEC to monitor their operation
securities issuing companies disclose information, including financial statements, management structure, and risk management measures to enable investors, the media, and the SEC to monitor their operation
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
appropriate measures to achieve intended outcomes with careful consideration of the impact of interventions on relevant parties and the ability to monitor implementation. The SEC believes that measures should
will closely coordinate with the SET to monitor stock trading activities and solve the problem in advance. Another aspect of the supervisory task is to improve risk management procedures of securities
provided by the Cloud Provider, whose standards are acceptable and the service is reviewed on a regular basis. Hard copies of documents and printed materials are stored based on their use: Documents that are