shall first establish measures for risk management which cover at least the following: 7 (1) laws or regulations that allow for provision of tiered participation arrangements and protection of
Transactions Given the prevalence of large shareholders and company groups, minority shareholder protection is a key issue. Related party transactions are a common feature of business in Asia. Related entities
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improved relations with workers, creditors, and other stakeholders. Better investor protection can lower the cost of capital and encourage companies to list and raise funds through equity markets. It is
are enforceable under the SEC Act, the violation of which is a criminal offence. The extent of the SEC’s authority is further defined in SEC notifications, in which details of its context and powers
companies, both financial and non- financial. To the extent they are deemed applicable, they might also be a useful tool to improve corporate governance in companies whose shares are not publicly traded
mutual funds. This will also benefit to the development of new financial instruments, such as instruments with limited loss, instruments with principal and minimum return protection. The success of the
highlight investor protection measures through our proposal of the draft Amendments to the SEA, which were approved by the National Legislative Assembly in December. We also put forward other legislations
obstacles and promote more use of FinTech by giving more space for such innovation and reducing regulatory burdens irrelevant to user protection,? said Deputy Secretary-General Tipsuda.
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