One Report ESG Issues AGM FAQ Capital market professionals/gatekeeper CSR Whistleblower Audit committee About us Overview Detail Content SEC Roles C oncept “Supervision” is the core
One Report ESG Issues AGM FAQ Capital market professionals/gatekeeper CSR Whistleblower Audit committee About us Overview Detail Content SEC Roles C oncept “Supervision” is the core
Governance ● Revision of Rules on Approval for Public Offering of Shares and Information Disclosure by Focusing on Good Corporate Governance CONTENTS APPEN SCE_Eng_p.1-16 10/29/04, 1:05 AM2 3 ● Supervision of
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
benefits of the capital market. Expectations include: Provide opportunities for businesses to operate independently with an effective supervision system in place to ensure an orderly market; Be
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
Sector Assessment Program (FSAP) in 2007. While the roadmap to securities business liberalization progresses along its path, so will the market supervision and development. We truly hope to see further
85 87 88 102 102 103 Total staff: 422 2 Broker-Dealer Supervision Dept. 36 staff Market Supervision Dept. 9 staff Supervision Dept. 43 staff Supervision Dept. 29 staff Securities Business Senior
decision on appropriate forms of alliance with foreign counterparts to support future trading linkage;2. Supervision of Securities Business: Licensing provisions would be amended to grant the Securities and
Entities in order to Ensure Confidence of the Investing Public ■ Supervision of Market Intermediaries ■ Inspection of Listed Companies and Market Intermediaries ■ Regulation and Law Enforcement G OA L 4