Investment Facilitating Issuance of Several Types of Instruments that Meets Fund Mobilization Objective and Gives Greater Investment Alternatives ● Development of Derivatives Products as an Important Tool for
obligation of the SEC as prescribed by the Securities and Exchange Act. The SEC has the responsibility to issue rules and regulations, ensure compliance and pursue enforcement in case of violations. Despite
obligation of the SEC as prescribed by the Securities and Exchange Act. The SEC has the responsibility to issue rules and regulations, ensure compliance and pursue enforcement in case of violations. Despite
Information Technology for the Benefits of the Capital Market Promoting the Issuance of a Variety of Financial Instruments so that They can Serve the Fund-Raising Need of Businesses and at the Same Time Provide
against misconduct ë Issue rules and regulations governing securities issuance and offering for sale to the public ë Approve securities issuance and public offering ë Oversee information disclosure ë
cooperated with the Association of Securities Companies in its issuance of the code of conduct on relationship with clients. Brokers must closely monitor clients’ trades and ensure the quality of advice given
our promotion of overseas investments, strengthened enforcement on insider trading, share manipulation, executive misconducts, accounting frauds, false documentation of securities issuance and offering
perhaps contradictory regulations between jurisdictions is also an issue that should be monitored so that no regulatory vacuum is allowed to develop (i.e. issues slipping through in which no authority has
Transactions Given the prevalence of large shareholders and company groups, minority shareholder protection is a key issue. Related party transactions are a common feature of business in Asia. Related entities
board member, thereby allowing his/her chosen candidate to win that seat. Pre-emptive rights: Pre-emptive rights give existing shareholders a chance to purchase shares of a new issue before it is offered