shall monitor and supervise its personnel, who are responsible for providing investment analysis, consultation or planning to clients, to perform their duties within the specified scope as approved by the

and the disclosure of information concerning certain products in the capital market to its clients shall comply with this Chapter. Clause 23 An intermediary shall monitor and supervise its personnel

to demonstrate to the SEC Office that such person has access to and is capable of examining information necessary to make investment decision in securities being offered and that it is not necessary to

Office that such person has access to and is capable of examining information necessary to make investment decision in securities being offered and that it is not necessary to apply fair allocation

other person that securities offeror is able to demonstrate to the SEC Office that such person has access to and is capable of examining information necessary to make investment decision in securities

representatives to discuss and express opinions in the global platform regarding the issues on the development of financial reporting quality. We aim to further monitor the direction of accounting professions

. Human resource planning and allocation Advanced and appropriate human resource planning and allocation will ensure that audit firms are capable of obtaining capable workforce and are able to allocate

guidelines for investors to understand and monitor future business directions of the Company; 1.1.2 Material changes and developments Give a brief account on the material changes and developments regarding the

and the determination to drive the business towards sustainability, as deemed appropriate by the Company, to be used as guidelines for investors to understand and monitor future business directions of

, report or relevant document to the SEC Office within appropriate period, whether general or case-by-case basis without excessive burden to the intermediary , in order to monitor the compliance with this