instruments; (7) The determination of guideline for complaint acceptance and handling; In this regard, the high-level management should arrange for a procedure in notifying and acknowledging the related
transaction sizes and specific actions undertaken as required by related regulations including seeking consents of the trustees, or resolutions of approval by unit holders. Distribution of dividends
been granted a license under this Ministerial Regulation shall comply with criteria, conditions and procedure specified by the SEC and shall maintain the formation and proportion of shareholding as
Capital Market Supervisory Board, and the SEC Office. The SEC Code of Governance was prepared as required by law and equivalent to industries and international standards. This is to ensure that the
attached herewith. Clause 6 Limited company or public limited company that has been granted a license under this Ministerial Regulation shall comply with criteria, conditions and procedure specified by the
the followings: Low level of involvement in audits by engagement partners and EQCRs Incomplete audit manuals and audit programs as required by the new auditing standards. Incompetent EQCRs in the
Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Derivatives Business For Which an Approval Is Required _____________________
and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Derivatives Business For Which an Approval Is Required _____________________ By