managing the client’s assets as prescribed under Clause 4(1), the SEC Office shall inspect and verify the client’s assets by taking the following actions: (1) inspecting the client’s assets under possession
Department 2) Consideration SEC official inspect qualifications of applicant by checking qualifications and status of the applicant 59 days Accounting Supervision Department (Unofficial Translation) 3 Step
objectives. Furthermore, our AIMC members join the group efforts to monitor and inspect listed companies that may fail to comply with the ESG criteria, guided by the AIMC ESG Policy and Collective Action
) define the right of the intermediary to inspect the operation of the outsourcee to ensure compliance with the agreed term. With the exception where the outsourcee has a restriction to do so, the
right of the intermediary to inspect the operation of the outsourcee to ensure compliance with the agreed term. With the exception where the outsourcee has a restriction to do so, the intermediary should
/Percentage) Remarks: besides application fee, an applicant should be responsible for expenses incurred from the SEC Official visit to examine working paper and audit quality control system of the audit firm
efficiency of frameworks for monitoring and analyzing systemic risk to examine circumstances and detect weaknesses promptly and prevent severe effects on the overall capital market. In addition, SEC engages