markets are fair, efficient and transparent, and (3) reducing systemic risks. IOSCO Principles comprise 37 Principles, which can be mainly separated into two main groups: principles for regulator and
specifies the following areas: Board Composition and Structure , for instance, nomination procedure, term of office and sub-committee appointment; Board Policies , for instance, code of ethics, conflicts
markets are fair, efficient and transparent, and (3) reducing systemic risks. IOSCO Principles comprise 37 Principles, which can be mainly separated into two main groups: principles for regulator and
Help Center Complaints/Whistleblowers Matters under the SEC Responsibility Complaint Handling Procedure Samples of Documents or Evidence Matters under Supervision of Other Laws
of financial report to ensure that public disclosure of financial report is accurate, transparent, useful to the investors and prepared in compliance with international standards. In so doing, the
judgement on corporate affairs. Principle 3.3 The board should ensure that the policy and procedures for the selection and nomination of directors are clear and transparent resulting in the desired
disagrees with, an administrative order has the right to appeal such order. The appeal procedure is provided by the SEC Regulation concerning Filing, Considering and Making a Decision on the Appeal of the
market and the dissolution procedure is the same as listed funds. (3) Retail investors may redeem ETF investment units with the mutual fund management company and the rules and procedures must be clearly
company may allow the unitholders to switch their investment units from one class to another. The procedure for the switching of classes must be clearly described in the scheme. (3) Seeking a resolution of
. 15.2 Procedure for handling assets as debt repayment 1) Set-aside: the mutual fund management company shall dispose of the assets at the earliest opportunity, except that the unitholders accept the