approval to offer debt securities for sale. This will allow the SEC to carry out a preliminary scrutiny of qualifications of issuers for investors. Disclosure – issuers are required to make complete and
necessary to carry out their roles on the board and board committees. Principle 3.9 The board should ensure that it can perform its duties effectively and have access to accurate, relevant and timely
, and that intermediaries and their employees will carry out their operation responsibly pursuant to professional and ethical standards. · Criminal sanctions : The procedure can be carried out
terms of the derivatives contract specification, etc. Clearing House An important part of trading in securities and derivatives is to ensure that both counterparties will carry out their agreed
or omits to act in order to obtain unlawful gains.) Section 312 (Director or manager permits another to commit dishonest act in the account or document) and; Section 313 (Increasing penalties for
directors in updating and refreshing their skills and knowledge necessary to carry out their roles on the board and board committees. Guidelines 3.8.1 The board should ensure that newly appointed
another person's securities trading account or a bank account of payment of securities trading to conceal the identity of the account user/ to commit an unfair act regarding securities trading (Section 297