supervising securities businesses; 3. The SEC Office implementing policies, inspecting licensed/approved corporations and individuals, and developing financial products. Meanwhile, the Audit Committee
complaint would allow the intermediary to rectify or take necessary action before further necessary action can be taken; SEC treats all complaints equally, whether they are submitted by individuals or a
) Investors have the capabilities to develop strong financial health. Alongside the five key results, the SEC has initiated an innovative organization plan to be the key enabler in developing the