securities company at the management level in the matters concerning internal control and conflicts of interest, at the level of commercial bank, securities business operator or derivatives business operator
a supervision policy of the securities company at the management level in the matters concerning internal control and conflicts of interest, at the level of commercial bank, securities business
License and Granting of License to Provide Services as Securities Registrar (No. 4) dated 27 October 2003 (effective on 1 November 2003). 2 (4) being able to show that an internal control system capable of
in a continued and credible manner. Good internal control Specify the scope of powers and duties and approval of transactions in a transparent form in writing. Separate the powers to approve, record
be selected from the candidates who have good understanding of the company’s business and are able to keep the Board of Directors, executives and shareholders well-informed by internal and external
SEC relies on the Check and Balance System whereby the Audit Committee and the Internal Audit Department are responsible for reviewing and giving recommendation to the SEC Board on the matters related
ensure compliance. 2. Conduct a gap analysis of current climate-related processes and disclosure 1. Form an internal TCFD working group Designate a climate ‘champion’, ideally from senior management or the
additional demand for non-audit service) (Shu, 2000) - the disagreement between a client and an auditor over accounting practices or internal control issues (Beneish et al., 2005) - auditors’ lack of industry
the city’s internal management systems such as the public transport system. As a result, it is one of the provinces with high potential to support businesses to access the capital market. In addition