work for audit firms having quality assurance system in compliance with professional standards, the SEC regularly inspects the firm?s audit quality to uphold market fairness, ensure proper investor
objectives for administration of the regulations and rules are as follows: Investors have access to information and make confident decisions on investment. The capital market is operated with fairness
SHARE : Detail Content Investors' Rights The law prescribes rights for investors so that they are treated with fairness, not fall prey to fraudulence schemes, and not exploited by any parties. The
). Clause 20 An intermediary shall prepare the information on the appointment and the discontinuation of the following persons and keep it at the company to be ready for retrieval or inspection by the SEC
information via generally accessible channels of business operators or preparation and storage of information in a manner ready for retrieval upon the SEC’s request, and (3) cancellation of reports that are no
the client. Additionally, the evidentiary documentation of such transaction must be kept ready for retrieval upon the SEC’s request for inspection; (2) The use of a client’s assets, fiat money and
the information on the appointment and the discontinuation of the following persons and keep it at the company to be ready for retrieval or inspection by the SEC Office upon request. (1) the persons
discontinuation of the following persons and keep it at the company to be ready for retrieval or inspection by the SEC Office upon request: (1) the persons under Clause 5 and Clause 6 of the intermediary who is a
). Clause 20 An intermediary shall prepare the information on the appointment and the discontinuation of the following persons and keep it at the company to be ready for retrieval or inspection by the SEC
are reliably and trustworthy, the Securities and Exchange Commission hereby issues the principles for undertaking business as follows: (1) honesty, fairness and integrity An intermediary shall conduct