, the highly active market in 1987 drew in short-term speculation that led to unfair market practice amidst inefficient investor protection. To address the aforesaid issues, the Securities and Exchange
supervision 2.6 Quality Assurance & Review Increasingly, complicated transactions in the financial market especially those in connection with listed companies and intermediaries such as securities houses have
. (6) Review related party transactions and other transactions that may create conflicts of interest, to ensure that they comply with applicable law, are reasonable, and carried out in the best interest
the list of licensed securities companies, please click SEC Check First . For the list of companies / websites liable to undertaking securities business without license, please click Investor Alert
information to the investors, representing the financial position and operating performance of the entities in the capital market, and is one of the most crucial factors to enhance investor confidence in the
es Investor Alert Enforcement Fundraising Securities Issuing Companies Takeover Professionals Intermediaries List of Securities Businesses / Derivatives Businesses Asset
/ Derivatives Businesses Securities Brokerage Securities Companies and Other Financial Institutions Staff or Agent (individual) Acting as Investor Contact of the Company D erivatives Agent Licensed
to grant proxy, the right to attend shareholders’ meetings, the right to make decisions on material transactions that may affect the company, e.g., capital increases and entire or partial merger and
to grant proxy, the right to attend shareholders’ meetings, the right to make decisions on material transactions that may affect the company, e.g., capital increases and entire or partial merger and
to shareholders in cases that the listed companies involve in significant transactions that could affect rights and interests of the shareholders such as mergers and acquisition transactions, related