securities trading system and other relevant systems of the Stock Exchange. Meanwhile, an information technology system is necessary for securities clearing houses and central securities depositories to
settlement of securities trading. All brokers are to strictly monitor the performance of marketing officers and branch managers and adhere to the given guidelines. Elevate corporate governance (CG) standards
systemic risk and prevention of any consequences that may affect securities trading system, where the works involved supervising securities companies to ensure their sound financial status as well as
trading volume target by the end of the year. Likewise, the markets for mutual funds and provident funds continued to grow throughout the year, echoing the public's favorable responses to the government's
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markets, over-the-counter trading center and other service providers for transactions in the capital market. “Capital market supervision,” therefore, is primarily the supervision of market participants
markets, over-the-counter trading center and other service providers for transactions in the capital market. “Capital market supervision,” therefore, is primarily the supervision of market participants
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SEC Search Search From : Home > Search > Search Results search: Public Information System SEC_News ( 62 ) Equity Prospectus ( 24 ) Debenture Prospectus ( 10 ) Mutual Fund Prospectus ( 7 ) Public
plans and procedures for the SEC including development of operational guidelines, systems to identify, assess, monitor, control or minimize risks and record keeping and reporting system. The Division also