exceeding the limit approved by the SEC, but not over 15% of the limit (greenshoe) and must be stated in the scheme. (3) The mutual fund management company must provide an evidentiary document of the rights
independent director be stated? A: According to the best practices regarding board structure, the board of directors should clearly state the term of office of the independent director, for example, a three
) committing unfair securities trading practice; (2) presenting a false statement or concealing material facts that should have been stated; (3) failing to perform duties as director or executive under Section
confidence and prevent recurrence of the problematic issue. In response to the said incidents, the International Organization of Securities Commissions (IOSCO) issued “Principle of Auditor Oversight," to its
Investors (I Code) on 23 February 2017. They declared the five commitments for cooperation as follows: Establish a collective framework to drive successful I Code implementation. Develop further guidance and
. Data subjects are entitled to the rights stated above. Therefore, data subjects may request the SEC Office to comply with the rights stated above by requesting the SEC Office via the link Request to
statements in material matters, or concealing material facts that should have been stated in any documents subject to be disclosed to the public or filed with the Securities and Exchange Commission, the
persons. 2.2 In case of juristic persons: including unitholders and (1) A juristic person and a shareholder or a partner of the said juristic person who holds shares or partnership in such juristic person