: 1. Preventive regulations To ensure that preventive regulations are carried out as deemed necessary to benefit investors and the capital market as a whole, and simultaneously observe the rights of
: 1. Preventive regulations To ensure that preventive regulations are carried out as deemed necessary to benefit investors and the capital market as a whole, and simultaneously observe the rights of
Supervising Those who are in Contact with Investors ■ Promotion of Good Corporate Governance ■ Development of Legal Framework to Afford Better Protection for Clients’ Assets and Provide Mechanism for Investors
by account officers. This is particularly important because over 70 percent of the equity trading volume is generated by individual local players. Individuals are naturally very sensitive to news
who are in Contact with Investors ● Mutual Fund Management Business ● Revision of Rules on Securities Underwriting ● Law Enforcement 52 GOAL 4 Preserve Market Fairness and Transparency, Understand
views of the Organisation or of the governments of its member countries. This document and any map included herein are without prejudice to the status of or sovereignty over any territory, to the
services are efficient, transparent, and examinable, in a bid to promote confidence towards, and integrity and security of, the overall financial system, and to improve the competitiveness and image of the
efforts in strengthening corporate governance in the industry. In the year ahead, countless different challenges are bound to arise and test our strengths, but I believe the SEC management and staff will
undertaking as well as to protect investors? best interest.?The four key areas are:?1. Provisions on Stock Exchange: The proposed revisions include (1) granting the power to approve the rules on securities
where the claimant does not make correction or addition within such period of time, it shall be deemed that the claimant no longer intends to proceed the arbitral process and the Office shall terminate