Internal Control Sufficiency Evaluation Form Concepts and Objectives Good internal control is essential for a listed company or a public company as it can help preventing, managing, mitigating risks
Office to ensure compliance with this Notification, require derivatives clearing houses to submit to the SEC Office reports or any particular documents periodically or from time to time, within a time
conformity to be deemed as compliance with the relevant regulations under this Notification; (3) require derivatives exchanges to submit reports or any particular documents to the SEC Office periodically or
Notification; (3) to allow the SEC Office to ensure compliance with this Notification, require securities clearing houses and central securities depositories to submit to the SEC Office reports or any particular
Notification of the Capital Market Supervisory Board concerning Personnel in the Capital Market Business. Clause 4 A management company shall arrange the evaluation of fund performance on a regular basis, and
transaction and such transaction should be fair to the client under that particular situation. (3) Proxy voting (4) The calculation of the asset value of the fund should be carried out in accordance with the
documented information security policy which addresses at least the following matters: (1) policy on the use of cloud computing which covers the methods for selection and evaluation of cloud providers, review
items in the registration so that the information thereof shall be up-to-date at all times. Clause 6. To assure the conformity with the capital market policy at each particular time, or to enable
shall be up-to-date at all times. Clause 6. To assure the conformity with the capital market policy at each particular time, or to enable investors to clearly understand the selection of appropriate tools