relevant Authority to manage Covered Funds and that meets the applicable conditions set out in Appendix B to this MoU. (f) “Cross-border On-site Visit” means any visit by one Authority to the premises of a
and risks of organizations that will link their systems to ours. Duties and responsibilities are clearly defined in the contract entered into with those organizations, while risk-monitoring measures
] Legal Group • responsible for providing legal advice on rulemaking and keeping up to date with legal developments. Enforcement Group • responsible for monitoring and investigating unfair securities
the codes of professional ethics. Most of the findings are in Engagement Quality Control Reviewer (“EQCR”) rotation, non-audit service, individual acceptance, and independent monitoring. 13 Independent
recommended to deal with the said insufficiency; (4) Monitoring (MR): Some audit firms were found having insufficient monitoring and without action plans to monitor deficiency remediation. In this regard
sustainability management as the Company deems appropriate. The policy and guidelines may be disclosed in full via the Company’s website to give investors an understanding and a guideline for further monitoring
sustainability management as the Company deems appropriate. The policy and guidelines may be disclosed in full via the Company’s website to give investors an understanding and a guideline for further monitoring
system for receiving and delivery the client ’s assets between the intermediary and such third party, and for monitoring the consequence thereof. In this regard, while awaited delivery of the asset or
closed monitoring and prevention from seeking a resolution on such transactions from the shareholdersû meeting. If any unlawful behavior is found, coordination will be made with related agencies in advance
to manage SUTG by themselves again after they found out that the RDF projects was delay and have lose some projects to other companies which do not use innovation channel. It might make more risk in