SEC received Broadly Implemented for Principle relating to auditor's oversight. (2) Principles with significant improvements: 11 Principles - staff professionalism and independence - cooperation with
SEC received Broadly Implemented for Principle relating to auditor's oversight. (2) Principles with significant improvements: 11 Principles - staff professionalism and independence - cooperation with
Board hereby issues the following regulations: Clause 1 This Notification shall come into force as from 1 July 2017. Chapter 1 General Provisions Part 1 Objectives of the Supervision of Derivatives
large part consistent with the SEC’s Strategic Plan and policy since the SEC is a major driver of the Master Plan. In this past year, the SEC has been active in imposing rigorous supervision/enforcement
, including monitoring and supervision of the subsidiaries to prevent exploitation of asset owned by the Company or subsidiaries resulted from misconducts of the Company’s directors or executives; (2) defects
staff sufficiency to ensure work efficiency, including monitoring and supervision of the subsidiaries to prevent exploitation of asset owned by the Company or subsidiaries resulted from misconducts of the
Diligence (KYC/CDD) as well as client activity oversight systems. Additionally, the SEC is in the process of submitting the? case for consideration of the Criminal Fining Committee.During a routine inspection
Questionnaire A Monitoring the Firm’s Quality Management Policies and Procedures Firm's Reference /Guidance Notes Description A1 Does the whole firm perform inspection to evaluate its compliance with
The MOU reaffirms mutual intention to promote and support provision of pools of knowledge for listed companies and regulated entities under the SEC supervision to enhance their awareness of the
.? [The average scores range from 5 (the lowest) to 1 (the highest)]. Major issues found among the inspected audit firms included non-compliance with auditing standards and inefficient work monitoring