with the board of the company, which oversees the actions of its management. Investors in the company also play an important role in holding the board to account for the fulfilment of its

draft prospectus, including other documents and evidence with the Office; (2) to review and comprehend the information regarding the issuer of securities and other relevant information and take actions to

derivatives investment advisors. ✓ ✓ ✓ ✓ Company profiles and reports on wealth advice service (annually). ✓ 1. Data relating to operating systems and actions with intermediaries; 2. Appraisal companies

Notification of the Capital Market Supervisory Board governing prohibited characteristics of personnel in securities business or violates or fails to comply with Clause 13, the Office shall take actions against

tasks including undertaking of any other actions assigned by the administrative panel or the SEC, as the case may be. Division 1 Administrative Proceedings Clause 8. Administrative proceedings shall

issues and propose the actions to be taken to the Minister. Section 12. The SEC shall have the power to appoint a sub-committee to perform any matter as assigned by the SEC. The provisions of Section 12 of

further actions, it will be considered that auditor has performed duties in compliance with Section 89/25.   Q: What kind of behavior that requires auditor to report to audit committee? A: Auditor has

significantly more in corporate social responsibility (CSR). b. Corporate culture Corporate culture is defined as "a set of shared values and conventions that establishes acceptable attitudes and actions for

, twenty of them were approved with conditions, requiring both remedial actions and a mandatory follow-up. Deficiencies were mostly found in the following areas: audits of revenues, substantive analytical

threats to independence and objectivity and take appropriate actions, including withdrawing from an engagement if effective safeguards could not be applied? 17 Does the firm have a system for identifying