The Office of Securities and Exchange Commission (SEC) is considering amendments to the laws administered by SEC in order to increase the efficiency of law enforcement. The Agency proposes to
imposes the sanction. The SEC Board imposes the sanction. End This is a legal action by virtue of the SEC Office’s regulatory power prescribed in those administered laws. This action shall be imposed on a
Criminal action is a type of law enforcement against any person who acts or omits to act in violation of the laws administered by the SEC. Criminal actions are divided into two groups, namely: (a) criminal
used to the benefit of the executives. The program must be administered by an intermediary, such as a securities company, to make it clear that an outside person who does not have access to internal
that the capital market will be developed toward sustainable growth and generate positive impacts on the national economy. At present, there are six legislations administered by the SEC, namely: the
Administrative Order Issuance is a legal action by virtue of the SEC Office’s regulatory power prescribed in those administered laws. This action shall be imposed on a regulated person who is disqualified or fails
other words, persons licensed, approved, or registered in accordance with the laws administered by the SEC. For example, securities business operator, derivatives business operator, financial advisor
intermediary, who will conduct KYC and Suitability tests in order to protect investors.4. Funds investing in shares of SMEs and startups will be established. These funds will be administered and
of Mutual Fund 17. Dividend payment A mutual fund may pay dividends from its retained earnings or net profits in the accounting periods that the mutual fund have retained earnings or net profit