may be affected; · To study international supervisory measures or standards and analyze their pros and cons; · To consult with the practitioners by arranging focus group
which case a special committee will be appointed to consider the case and conduct an investigation to ensure transparency and fairness. Complaint Against SEC Complaint / Inquiries SEC Complaint Form SEC
terminated from employment because of their tip filing. ● Whistleblowers who wish to give inside information or useful evidence for SEC’s investigation shall be treated fairly and protected by law. Matters
Police or the Department of Special Investigation) for further investigation in accordance with the Criminal Procedure Code. After that, the inquiry official will conduct a further investigation and pass
Rule Making Process SHARE : Detail Content 1. Assess the importance of matters 2. Study international supervisory measures and standards 3. Conduct regulatory impact assessment: Analyze the
SEC is empowered to take any of the following actions, as the case maybe: (1) Administrative Actions, (2) Criminal Actions, and (3) Civil Sanctions A flowchart of Procedure for Investigation and
invest Investors SHARE : Detail Content Rights before a decision to invest Before deciding to invest, the investors are entitled to receive information, so that they can study, analyze and decide
Independent Audit Inspection Activities Report for the 1st Cycle 1 October 2010 - 31 December 2012 Independent Audit Inspection Activities Report 1 October 2010 - 31 December 2011 The results of a study of
details of the investigative process to the complainant to prevent an impact on the consideration of the case. The results of the consideration will be sent to the complainant after the SEC investigation