focus on preventing, deterring and suppressing inappropriate behaviors and misconduct as well as effective enforcement in all cases, at a media briefing on 6 February 2024, at the SEC Building.More
) under consideration, the penalty already served, the impacts, damage or benefits generated, rectification or other actions benefiting or hindering SEC’s operation, and the record or other past behaviors
considered that the transactions entailed the best interest for clients and failed to provide measures for preventing conflict of interests. SEC Act S.283 paragraph 1 Settlement Committee Meeting No. 2
damage to the operation of the securities company and customers. Therefore, for the purpose of preventing risks arising from using information technology in the operation of the securities company and for
damage to the operation of the securities company and customers. Therefore, for the purpose of preventing risks arising from using information technology in the operation of the securities company and for
preventing investors to fall victims for fraudulent solicitations, as well as being a mean of elevating the protection for investors.”The public can use SEC Check First application to search information on
for preventing and suppressing digital asset-related frauds and faster measures to contain damage incurred from such frauds that affect the investing public. The next step is to discuss methods and
Measures for preventing conflicts of interest are an important part of the SEC policy especially in the process of securities issuance and offering, which involves participation of key
revisions, the business operators will be required to have in place a sound internal control system, by taking into account the utmost interest of customers, for preventing the use of inside information and
might occur between the company, management, directors, and shareholders. The board should also prevent the inappropriate use of corporate assets, information, and opportunities, including preventing