are fit and suitable for current information technology risks; (2) monitor and analyze potential risks to computer systems relating to clearing, settlement, and depository services with respect to
OECD publications, databases and multimedia products in your own documents, presentations, blogs, websites and teaching materials, provided that suitable acknowledgement of OECD as source and copyright
prioritize potential risks to the SEC's goal achievement with regard to market supervision and development. Next is the drawing of appropriate strategies to prevent, control and avoid risks and their impacts
our promotion of overseas investments, strengthened enforcement on insider trading, share manipulation, executive misconducts, accounting frauds, false documentation of securities issuance and offering
principles can be adapted by each company to best fit the individual firm’s functional needs. If they choose not to comply with any principles, they should explain thoroughly the reasons for not doing so. 2
will get all five seats, as s/he will always outvote the minority share- holder by 80:20. cumulative voting would allow the minority shareholder to cast all his/her votes (five times 20 percent) for one
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
its key strategies on issues that will be most suitable to what are expected to be the prevailing market conditions in the coming year. Issues that will be given such importance will be the support for
Commission No. OrNor. 7/2547 Re: Arbitral Process (No. 3) dated 13 October 2004. Clause 3. In this Notification: “respondent” means any of the followings: (1) a securities company; (2) a local share selling
: Arbitral Process (No. 3) dated 13 October 2004. Clause 3. In this Notification: “respondent” means any of the followings: (1) a securities company; (2) a local share selling agent; (3) a mutual fund