. Clause 15 In case the SEC Office deems appropriate, a management company shall arrange for the SEC Office to inspect the operation and evidentiary documentation relating to doing duties of the

deems appropriate, a management company shall arrange for the SEC Office to inspect the operation and evidentiary documentation relating to doing duties of the representative as designated by the

shall arrange for the SEC Office to inspect the operation and evidentiary documentation relating to doing duties of the representative as designated by the management company. 11 Chapter 3 Power of the

applicant has registered with about the qualifications of the applicant, review audit works of the applicant whether it is in compliance with the ISAs, inspect audit quality management system of the audit

AIMC members join the group efforts to monitor and inspect listed companies that may fail to comply with the ESG criteria, guided by the AIMC ESG Policy and Collective Action and the Negative List, which

applicant,  review audit works of the applicant whether it is in compliance with the ISAs, inspect audit quality management system of the audit firm that the applicant is attached with whether such system is

/Percentage) Remarks: besides application fee, an applicant should be responsible for expenses incurred from the SEC Official visit to examine working paper and audit quality control system of the audit firm

efficiency of frameworks for monitoring and analyzing systemic risk to examine circumstances and detect weaknesses promptly and prevent severe effects on the overall capital market. In addition, SEC engages

operational) Identify possible business exposures to climate-related risks (using the outputs of Step 4 as a starting point): examine transmission channels, identify climate-related risks and conduct an

rewards to longer patterns of increasing earnings are associated with better future growth opportunities. Instead, market rewards may be related to past strong fundamentals. • I therefore examine if longer