, 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
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
not be complicated or costly for shareholders, and the meeting location to be easy to reach. 1.4 The board should allow shareholders to send their questions to the company prior to the 63Section 1
, a committed criminal offence has a costly negative impact on the public confidence in the capital market. The SEC therefore gives a greater emphasis on proactive prevention by formulating regulations
, a committed criminal offence has a costly negative impact on the public confidence in the capital market. The SEC therefore gives a greater emphasis on proactive prevention by formulating regulations
. 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
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
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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