characteristics of such risks as well as the causative circumstances and potential impacts thereof (display numerical assessment results, if possible), tendency or probability of occurrence. Supplementary
Exchange Commission No. 30/2558 Re: Approval of Foreign Auditors in the Capital Market. 2. I will closely monitor the applicant to perform an audit work in giving opinions on financial statements with
To ensure that asset management companies primarily manage funds for the investors’ benefits, SEC has revised the regulations in order to control and monitor mutual fund management by requiring
company by taking into account the appropriateness and acceptable risk level. The securities company should specify the details on the designation or approval for such action clearly in writing, and monitor
company by taking into account the appropriateness and acceptable risk level. The securities company should specify the details on the designation or approval for such action clearly in writing, and monitor
company by taking into account the appropriateness and acceptable risk level. The securities company should specify the details on the designation or approval for such action clearly in writing, and monitor
. Annually screen and monitor all companies in the portfolio for deforestation and conversion performance to ensure that all relevant companies are not breaching deforestation-specific internal policies
as possible using an external reference or definitions to facilitate the assessment of the SPT’s level of ambition. Issuers are encouraged, when possible, to select KPI(s) that they have already
can monitor the guidelines for exercising the voting rights and the exercising of such rights by the management company; 6 (d) Does the mutual fund provide channels and procedures for the investors
from time to time, to allow the SEC Office to monitor compliance with this Notification, within a time period specified by the SEC Office, provided that the requirement does not cause unreasonable burden