Commerce. This topic measures the strength of minority shareholder protection against directors' misuse of corporate assets for their personal gain as well as shareholder rights, governance safeguards and
Commerce. This topic measures the strength of minority shareholder protection against directors' misuse of corporate assets for their personal gain as well as shareholder rights, governance safeguards and
determine a violation and take an action on any individual or firm, the SEC would investigate and gather information, facts and evidence concerning the violation. Generally, an alleged offender may clarify or
might occur between the company, management, directors, and shareholders. The board should also prevent the inappropriate use of corporate assets, information, and opportunities, including preventing
and business disputes; ● Complaints barred by prescription or limited by time to gather evidence as specified by law. Matters under the SEC Responsibility Complaint Handling Procedure Samples of
in 2. Comply with the SEC regulations. 3. Correcting the misspelling of name 4. Changing mutual fund supervisor 5. Reducing mutual fund fees or expenses (2) Amendments that might request an
in 2. Comply with the SEC regulations. 3. Correcting the misspelling of name 4. Changing mutual fund supervisor 5. Reducing mutual fund fees or expenses (2) Amendments that might request an
holders, investment decision, or price of the securities might be impacted, the SEC will order the company to have a special audit on such financial statements and report the result of such audit to the SEC
related associations The SEC has the power to make an order for the directors or members to clarify about facts of the associations. The SEC or the officers are empowered to enter the association during the
information which might affect the qualifications of the company is concealed. Offering price for PP is lower than IPO after the date of application, the company is prohibited from offering to sell PP at a