; Pledging and revocation of pledging of securities. The supervision of clearing house and securities depository center in accordance to the oversight framework for the supervision of financial market
governance standards of the SEC are rigorous, not lower than the international standards, and not lower than the regulated entities under our own supervision. The governance framework was approved by the SEC
Achievements Corporate Social Responsibilities SEC Strategic Plan for 2015 Appendix Statistical Highlights Report of the SEC Board on Internal Control over Financial Reporting Audit Committee Report 2014 Report
Governance ● Revision of Rules on Approval for Public Offering of Shares and Information Disclosure by Focusing on Good Corporate Governance CONTENTS APPEN SCE_Eng_p.1-16 10/29/04, 1:05 AM2 3 ● Supervision of
were sufficient and effective as a quality control measure. In today’s complex business environment and with even more complicated business transactions, sufficient supervision by highly experienced
report quality, promoting an appropriate internal control system, and preventing frauds. The Securities and Exchange Commission (SEC), on September 29, 2020, held a public live talk on the topic
on the selection of qualified candidates. Boards of directors must improve their participation in strategic plan- ning, monitoring of internal control and risk oversight systems. Boards should ensure
on the internal control system in key operating areas to assure that objectives in supervision is met with efficiency, effectiveness, transparency and fairness. Moreover, there are measures in
, administrative orders, and administrative sanctions; 3. Information Technology Audit and Cyber Risk Supervision and inspection of information technology risk of business operators ✓ ✓ ✓ ✓ ✓ ✓ 1. Disclosure of
upon the SEC Office’s request. I allow and will facilitate the SEC Office’s inspection of audit quality of my own work and audit quality control system of the audit firm, both before and throughout the