executives’ compensation policy, method of determining the compensation packages, and structures of each compensation type;- To improve disclosure of the use of proceeds in filing documents to be more
items for annual general meetings and extraordinary general meetings, to require the persons proposing the agenda item to possess sufficient information and supporting documents, to specify details in
supporting documents within 90 days from the date of filing the application with SEC, and (2) inspection of the actual work systems before granting permission to commence business operation whereby the
. Nonetheless, she neither examined KYC/CDD documents of the client and the beneficial owner, nor recorded the beneficial owner's identity. In this case, the beneficial owner was an executive and a shareholder of
}, the SEC further probed into the case and found that {A} persuaded his client to invest in derivatives contracts by exaggerating return from investment. He had prepared his own documents for giving
appropriate audit evidence on the matters. The SEC therefore instructed PRO to rectify the financial statements, cooperate and satisfy the auditor of supporting information and documents, and then submit to the
information from board of directors? resolution, shareholders? meeting documents and management discussion and analysis (MD&A) and risk factors disclosed in the annual registration statement (Form 56-1) and
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