establishment, market development had concentrated more on the secondary market where trading of transferable securities was the main activity than the budding primary market where businesses issued securities
can be submitted to the SEC before the filing the original application for approval 4. Submit activity reports on wealth advisory operation (particularly item 4.1) to the SEC, so that the SEC can use to
in the Corruption Risk Management Systems Assessment 2023 and higher score in the Integrity and Transparency Assessment 2024 see more > Activity see more > 07/08/2024 SEC joins a wreath-laying ceremony
related associations The SEC has the power to make an order for the directors or members to clarify about facts of the associations. The SEC or the officers are empowered to enter the association during the
(CMSB) has the power and duty under the Securities and Exchange Act that include issuance of rules and regulations governing the securities industry and reporting to the SEC Board. The CMSB comprises
knowledge of the audit market environment and practical experience of independent audit regulatory activity; To promote collaboration in regulatory activity; and To provide a focus for contacts with other
management of the mutual fund may cause damage or unfair treatment to the investors. (5) The operation of the mutual fund is inconsistent with the approved scheme. In this connection, the SEC has the power