, any punishment that promotes firm quality, and relevant personal evaluation criteria) and Please describe the details of such actions briefly. B20 How does the firm's leader communicate the audit firm
punishment.”_____________________
SEC. Therefore, it is deemed that {B} has already served SEC’s punishment in full. In considering a punitive measure, SEC takes into consideration the following factors: related roles and behaviors
approved by high-level management. In this case, such system shall; (a) generate good control environment; (b) assess, administer and manage any risks which arise or may arisen from conducting business to be
) having internal control system which is approved by high-level management. In this case, such system shall; (a) generate good control environment; (b) assess, administer and manage any risks which arise or
, administer and manage any risks which arise or may arisen from conducting business to be at a controllable level which have no impact on undertaking of fund management; (c) determine efficient control
structure A REIT is not a juristic person, but a pool of assets owned by a trustee. A trustee is entrusted with powers to oversee and administer assets of the trust in interests of the unitholders, who are
person under consideration; (2) punishment already served by the person; (3) impacts or damage to the company or the overall shareholders or benefits related to the facts or demeanors under consideration
and skills who is independent from the persons who formulate or administer the plan; (3) report the evaluation results under subclause (2) to the board of directors and the SEC Office within ninety days
or higher more than three cases, unless obtain a waiver from the Office. Such punishment shall not include the wrongdoing that was founded by the company and forward to the Office for proceeding. Under