important information and supporting evidence to SEC Complaint Center. This includes the followings; 1. Personal information of the complainant, e.g., full name, mailing address and phone number; 2. Power of
, applicable to all directors, executives, employees and staff of the company. 1.2.4 The board should ensure effective implementation including regular communication of the company’s policies and guidelines to
/ Derivatives Businesses Securities Brokerage Securities Companies and Other Financial Institutions Staff or Agent (individual) Acting as Investor Contact of the Company D erivatives Agent Licensed
statements. The scope of power and duties is clearly specified. Directors / executives must not have untrustworthy characteristics pursuant to the specified criteria and have their names on the database
Contact us SHARE : Detail Content Complaints Please use this form in case of filing a complaint against SEC executives or staff for alleged improper or unfair duty performance, in
, executives and staff covers the following areas: Accountability Responsibility Equitable Treatment and Participation Disclosure and Transparency Internal Control and Internal Value Creation by Enhancing Market
human resources management and development programmes to ensure that the company has adequate staffing and appropriately knowledgeable, skilled, and experienced employees and staff. Principle 1 | 2
inappropriate transactions with related parties. Principle 6.4 The board should establish a clear anti-corruption policy and practices (including communication and staff training), and strive to extend its anti
: You can contact us during business hours (no lunch break). For contacts out of business hours, our staff will contact you back during the next business hours. Should you encounter any corruption or
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