supervision 2.6 Quality Assurance & Review Increasingly, complicated transactions in the financial market especially those in connection with listed companies and intermediaries such as securities houses have
deemed committing an offence. Moreover, the SEC has obligation to maintain confidentiality of the acquired information in the same manner as other information acquired from performing its duties and is
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
via Form 56-1 and Annual Report as well. Q: Is a delayed disclosure of company secretary information and document storage location a breach of obligation? A: Although such delay is not a criminal
, 247 of the Securities and Exchange Act; The number of voting rights that the waiver will obtain after acquiring the securities and will gain in addition in the future without triggering the obligation