) Photocopy of the latest inspection result or report issued by all of the following parties (if any); - the audit oversight authority - professional body - network firm - firm’s internal monitoring Signature
to enhance the public’s capital market investment knowledge and digital financial literacy, while ensuring investor protection. These efforts aim to build financial resilience and financial well-being
actively promote good governance and strengthen market surveillance. As 2004 also marked the conclusion of this government’s first term, looking back, it has been a productive four-year period. Several goals
continually prioritized risk surveillance through prudent screening and close monitoring of borrowers along with implementation of assistance measures for affected customers, covering both corporate and retail
employing knowledge and ability as a professional under different situation, being independent in making investment decision and having diversified investment in order to reduce investment risk, etc. (2) The
whether the code of conduct is complied: 1.3.1 Monitoring and assessment by an internal audit unit or a compliance unit; 1.3.2 Self -assessment by executives and employees; 1.3.3 Assessment by independent
conditions for the transaction are set; There are other groups of shareholders that can counterbalance; Monitoring of transactions that occur; Frequent revision of the appropriateness of the methods used
criteria ▪ Step 3: Introduce oversight ▪ Step 4: Adapt investment process ▪ ABSOLUTE EXCLUSION No investment in exclusionary criteria ▪ THRESHOLD EXCLUSION Partial investment ▪ RELATIVE EXCLUSION Best-in
in place, and disclose sufficient information.The SEC oversight is generally based on the concept of moving toward standardization and emphasizes measures for business development and mechanism for