SEC had proposed, in principle, to amend the definition of major shareholder of the securities companies which at present is determined based on the “number of voting shares” to the “number of

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Securities Company Granted an Exemption from Application for Approval of Person to be Major Shareholder

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recommendations are therefore substantively developed from a shareholder perspective, while taking into account other relevant parties including company directors, professional advisors and the standard-setting

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

oversee the governance of banks and other lending institutions. They are active in using this authority, screening who may be a director, senior manager, 5 percent or more shareholder, or auditor of a bank

. II) The rights and equitable treatment of shareholders and key ownership functions; The chapter identifies basic shareholder rights, including the right to information and participation through the

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