for risk controlling [M] o Keeping a written policy of security in the place where the user and the concerned person can simply reach [M] 2. Detail of Policy o Identifying clearly the purpose and scope
comply with applicable law and standards. Guidelines 6.1.1 The board should be aware of and understand the nature and scope of the company’s principal and substantial risks and should approve the risk
strategy and financial planning, including major capital expenditures, acquisitions and divestments; b) monitor the effectiveness of the company’s governance practices, environmental practices, and social
within the scope of the regulator’s statutory authority, while considering all relevant factors. 3 Statement of Intent (2017) 4. Strategic priorities To achieve the legislative intent, the SEC’s vision
and to ensure that the effectiveness of our inspection systems is on par with the international standard. We first joined the International Forum of Independent Audit Regulators (“IFIAR”) in 2010. The
- assurance service for the audit clients. - Establish the committee to consider the scope of non-assurance service when accepting such service from audit clients to ensure that it will not impair the
shall ensure that the identification document bears the customer’s photo. Clause 10. In conducting the KYC/CDD process under Clause 8, the securities company shall classify, and apply the scope and
document bears the customer’s photo. Clause 10. In conducting the KYC/CDD process under Clause 8, the securities company shall classify, and apply the scope and intensity of the procedures mentioned in
, and apply the scope and intensity of the procedures mentioned in Clause 9 (1) and (2) for each client in accordance with the client’s level of risk associated with money laundering (risk-sensitive basis
management, compliance, and internal audit based on the principles of the Three Lines of Defense to ensure the effectiveness of securities company oversight and to further promote recognition of the