), the issuer shall submit a supplemental report (81-1 Short-Form) to the SEC Office within a designated timeframe. This report must include the following information: - Major shareholders and their
* and Form 56*. These rules have caused an unreasonable burden on these companies. SEC therefore plans to improve these rules to facilitate holding companies, which engage in various types of business
As part of continuing efforts to support market confidence and business integrity, the OECD has launched in Asia a new set of corporate governance principles that were endorsed at the G20 Finance Ministers meeting in September 2015. The G20/OECD Principles of Corporate Governance provide recommendations for national policymakers on key corporate governance issues, such as shareholder rights, executive remuneration, financial disclosure, the behaviour of institutional investors, boardroom practic...
includes inspection of audit firms’ quality control systems, which has been running since 2010. According to the Activities Report 2021, audit firms in the capital market have continued to improve their
their independence both of mind and in appearance, the SEC strongly recommends that the audit firms improve their documentation to include all relevant aspects of non-audit services under consideration
until Satang Corporation Company Limited shall improve and correct the violation properly. However, the mentioned amount of fines does not include daily fines starting from the day following the
imposed a fine until Satang Corporation Company Limited shall improve and correct the violation properly. However, the mentioned amount of fines does not include daily fines starting from the day following
held this workshop, where knowledge and experiences would be shared for the purpose of active and swift operation, such knowledge include, collecting and inspecting evidence, procedures regarding
investors? best interest. This regulatory revision is part of the SEC?s three-year strategic plan to improve the overall market ecosystem regarding capital market product governance. The key points of
amendments to the handling of conflicts of interest rules to improve efficiency of the securities offering process, which include preventive measures and disclosure measures to support investors