procedures (including independence, quality standards, etc.)? If yes, please describe. 2 Does the firm have specific Continuing Professional Development (CPD) policies and procedures for all staff members and
issue of political independence of the securities supervisor through the creation of a formal governing body (a board, council, or commission) whose members are given fixed terms of appointment. If the
Roles and responsibilties Report on the interest of directors and executives / related person in relation to the management of the company Related party transaction / acquisition or disposition of asset
support securities regulators to tackle new challenges and risks. The second FSAP included the assessment of the SEC’s roles and responsibilities regarding transparency, independence, rulemaking procedures
ratio) 7 : 1 6 : 1 * ) 12 5. KPMG 2564 Big 4 Independence testing 6. KPMG 2564 Big 4 1 13 7. KPMG 2564* Big 4 (Listed company /partner) 22 2.84 * / portfolio allocation 2 108 / KPMG 2564 54
(staff/ partner ratio) 19 : 1 25 : 1 (staff/ manager ratio) 3 : 1 6 : 1 * ) 11 5. EY 2563 - 2564 Big 4 Independence testing 6. EY 2563 Big 4 1 12 7. EY 2563* Big 4 (Listed company /partner) 3.983 2.84
information among borrowers, lenders and other market participants; Independence and conflicts of interest CRA rating decisions should be independent and free from political or economic pressures and from
agent; (3) a mutual fund supervisor; (4) a private fund custodian; (5) a derivatives business operator; “claimant” means any person who is caused damage by the act of the respondent or any other person
supervisor; (4) a private fund custodian; (UNOFFICIAL TRANSLATION) - 2 - (5) a derivatives business operator; “claimant” means any person who is caused damage by the act of the respondent or any other person
private fund custodian; (UNOFFICIAL TRANSLATION) - 2 - (5) a derivatives business operator; “claimant” means any person who is caused damage by the act of the respondent or any other person assigned by such