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

practices, and adhere to applicable laws; c) embody high standards of business ethics and oversee the implementation of codes of conduct that engender a corporate culture of integrity; d) oversee the

board. The chairman’s duties should at least cover the following matters:  ​(1) Oversee, monitor, and ensure that the board efficiently carries out its duties to achieve the company’s objectives.  ​(2

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

standards of conduct, especially the executives who oversee compliance of business operators in accordance with the law, standards and ethics of business operation, to build investors’ confidence

duties and responsibilities to the Board of Director on the following matters: - Review the financial reports (quarterly financial report and annual audited financial report) to oversee that the reports

investors.The persons performing the duty must monitor and oversee undertakings that may cause a conflict of interests to the unitholders, including undertakings that may be characterized as unfairness to the

in the business rehabilitation process under the Bankruptcy Act of 1940. There are measures in place to oversee the asset management for normal business operations under the Central Bankruptcy Court

efficiency and promote the SEC role as a learning organization. ?The SEC will continue to develop the capital market by exercising our core value of openness, insightfulness, collaboration and integrity