Earlier, by virtue of Section 267 of the Securities and Exchange Act of 1992, the SEC, with the approval of the SEC Board, ordered an attachment of assets of 10 entities who were imposed with the
interest of our members. Principle 3: Oversee asset managers to make informed investment decisions and engage in active ongoing monitoring of investee companies. Investment decisions should take into account
profit or sharing income among themselves, securities business, only by virtue of the provisions of this Act.
level depending on knowledge and virtue to achieve the goal of balance, prosperity and sustainability of individual well-being and the society at large. In other words, by adhering to this
providers will have a duty to oversee proper securities trading. For example, information must be disclosed before and after trading for investment decision-making, trading must be regulated for smoothness
beginning of 2020. Most respondents were in favor of the regulatory updates and suggested that other regulations could be used to oversee fund management and provide investor protection. The