held this workshop, where knowledge and experiences would be shared for the purpose of active and swift operation, such knowledge include, collecting and inspecting evidence, procedures regarding
) Systems for supervising the augmentation and the cancellation of investment units of mutual funds, and for examining and verifying the calculation and the announcement of asset values, net asset values and
supervising the augmentation and the cancellation of investment units of mutual funds, and for examining and verifying the calculation and the announcement of asset values, net asset values and selling prices
, the intermediary should establish a process for monitoring and inspecting closely and regularly the operation of the relevant personnel to mitigate potential risks. 2.2 Mobile Devices and Teleworking
capital market prepare for entering the capital market by inspecting and providing consultations regarding the quality control system in compliance with the quality control standard Closely cooperating with
Handbookforapprovalofforeignauditors , b) inspecting audit works performed by the applicant to ensure the compliance with the ISAs, and c) inspecting the audit firm's quality control system to ensure compliance
supervising securities businesses; 3. The SEC Office implementing policies, inspecting licensed/approved corporations and individuals, and developing financial products. Meanwhile, the Audit Committee
which would involve setting standards for examining investment information, risk management and prevention of conflicts of interest. The SEC also cooperated with the Investment Banker Club in setting