Office, photos from closed circuit television, thermometers, etc. Contact information: Information for contact purposes, including, mobile phone numbers, email addresses, addresses on the identification

compliance with the ethical guidelines so as to earn public trust and confidence for themselves and the SEC. numerous channels for receiving public complaints including walk-in, fax, phone, e-mail, letter, etc

derivatives business operators is determined by the types of license packages, each permitting a scope of various business undertakings. For example, Type A Securities Business License requires the minimum paid

Discipline ● Proposed to amend the SEC Act to define clearer scope of responsibilities of listed companiesû directors and to empower investors in exercising their rights ● Cooperated with the SET in revising

. Moreover, the existence of derivatives market will provide additional financial instruments for investors and allow market intermediaries to expand their scope of services. For this reason, the SEC has

Reform Priorities in Asia: Taking Corporate Governance to a Higher Level Taking Corporate Governance to a Higher Level reform priorities in Asia 2011 REFORM PRIORITIES IN ASIA: TAKING CORPORATE GOVERNANCE TO A HIGHER LEVEL 2011 This work is published on the responsibility of the Secretary-General of the OECD. The opinions expressed and arguments employed herein do not necessarily reflect the official views of the Organisation or of the governments of its member countries. This document and any m...

formulating the structure and scope of responsibilities of sub-committees and steering groups, the Board employs a check and balance system and corporate governance principles to prevent conflicts of interest

within the scope of the regulator’s statutory authority, while considering all relevant factors. 3 Statement of Intent (2017) 4. Strategic priorities To achieve the legislative intent, the SEC’s vision

) measures to be implemented in the case of emergency which may affect the provision of services as a securities clearing house or central securities depository, with a defined scope that covers possible

, including market intermediaries and listed companies.1 The SEC and capital markets are governed by the Securities and Exchange Act 1992 (SEA). The SEA has a wide-ranging scope and was amended in 2008 to