operations. Directors, executives, and employees, as well as related parties of the agencies under supervision, whereby the SEC Office has supervised and inspected the risks related to their business
procedures to promote long-term investment and saving through long term equity fund (LTF), reforming the IPO subscription process to ensure fair accessibility for all investors, as well as continuing to
-enforcement of market structure, and adoption of principle of good regulations to streamline the regulatory process so that market participants will understand the spirits and objectives of regulations. Finally
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process is in line with the Capital Market Development Plan in the area of building competitiveness and business sustainability. It is expected to reduce the volume of paper use of the business sector by
to shareholders, warrant holders and investors ● Supervised listed companies, securities companies and asset management companies including persons in direct contact with investors to ensure their
with principles of effective insolvency and creditor rights systems. 6 Jurisdictions should take further steps to complete the insolvency law reform process and improve: (i) the quality and efficiency of
__________________ Clause 28 To ensure that the overall business operation of securities clearing houses and central securities depositories is supervised in an orderly, effective, and timely manner, securities
use. ---------------------- Notification of the Office of the Securities and Exchange Commission Re: Arbitral Process Organized by the Office _____________ With regard to the Office’s providing of the
. ---------------------- Notification of the Office of the Securities and Exchange Commission Re: Arbitral Process Organized by the Office _____________ With regard to the Office’s providing of the arbitral process under the Derivatives