language Encourage risk management by investment management operators ● Developed a risk monitoring and controlling system for equity funds ● Established guidelines for maintenance and monitoring of asset
formulating the structure and scope of responsibilities of sub-committees and steering groups, the Board employs a check and balance system and corporate governance principles to prevent conflicts of interest
through which the objectives of the company are set, and the means of attaining those objectives and monitoring performance are determined. The Principles do not intend to prejudice or second-guess the
Committee Statement. (1) Supervisory Risks: To achieve supervisory objectives effectively, the SEC set up a risk management system that facilitates effective monitoring, assessing and handling of potential
Objectives of the Supervision of Securities Clearing Houses and Central Securities Depositories Clause 2 A securities clearing and settlement system is a fundamental system which has connection to the
through new or amended regulations with practitioners to ensure their correct understanding and implementation, and to assign an officer to take care of each company under the SEC supervision. 2. Monitoring
through new or amended regulations with practitioners to ensure their correct understanding and implementation, and to assign an officer to take care of each company under the SEC supervision. 2. Monitoring
Information ● Supervision of Professionals Who Provide Information for Investors ● Development of Laws or System to Enhance Investorûs Rights 41 GOAL 3 Promote Integrity of the Market, Intermediaries, and All
ensure properness of internal control system as well as efficient and productive operations. [ Executive Officers of the Office of the SEC ]12 . . . . . . . . [ EXECUTIVE OFFICERS OF THE OFFICE OF THE SEC
, effective monitoring of management and be accountable to the company and its shareholders. Moreover, the board is also required to balance the different interests and classes of shareholders, and others. The