obligation of the SEC as prescribed by the Securities and Exchange Act. The SEC has the responsibility to issue rules and regulations, ensure compliance and pursue enforcement in case of violations. Despite
obligation of the SEC as prescribed by the Securities and Exchange Act. The SEC has the responsibility to issue rules and regulations, ensure compliance and pursue enforcement in case of violations. Despite
market to develop market diversification, expand investor base, and develop hedging tools that would support full-scaled, comprehensive transactions. The first priority issue of securities trading
. ■ Licenses for inter-dealer brokers - A Ministerial Regulation was proposed to enable the SEC to issue securities business licenses to those who wish to act as intermediaries to find suitable counter-parties
impede staff operation. All departments were required to set up their separate contingency plan to alleviate the impacts of such emergencies and ensure normal and continual operation of businesses in the
systems to ensure continuity of business and a timely resumption to normal operations. The SEC also examined the SET's policies and procedures on BCP and business continuity management (BCM) adopting as the
the execution of electronic transactions which would be deemed as fully legitimate as normal transactions, for example, transactions related to businesses under the SEC supervision, subscription
Federation of Accounting Professions to issue interpretations on six principles to plug this loophole, with more to follow. To tighten the enforcement of company directors’ behaviour, we set up a disciplinary
Transactions Given the prevalence of large shareholders and company groups, minority shareholder protection is a key issue. Related party transactions are a common feature of business in Asia. Related entities
Exchange Commission the power to issue and revoke securities business licenses as well as the power to approve additional types of securities businesses and specify paid-up registered capital thereof. These