for normal business; (2) Under one of the following circumstances, and approved by the mutual fund supervisor, the operation may be reject or suspense but not longer than one business day: (2.1) The
requires that the auditor of the entities in the capital market be approved by the SEC so that the SEC will be capable of regular monitoring the quality of audit work performed by such auditor, which
and seek regular reports from management. (3) Matters that the board should delegate to management are matters in which the board should refrain from active involvement in normal circumstances
a third party such as an audit firm, a law firm, or any other juristic person? A: Yes. The law does not specify any prohibition on the matter. The appointee can be either an ordinary person or a
, as appropriate. Principle 7.5 The board should ensure the establishment of a dedicated Investor Relations function responsible for regular, effective and fair communication with shareholders and
management’s handling of financial risk or difficulties and seek regular reports. 7.3.3 The board should ensure that any actions to improve the company’s financial position are reasonable and made for a proper
business, employee, staff, advisor earning regular monthly salary, controlling person during the period of two preceding years. Relaxation of this requirement is in the case where the person is retired as a
> Management of Mutual Fund > Prescription of additional rules Regulations SHARE : Detail Content Management of Mutual Fund 5. Prescription of additional rules The SEC is empowered to prescribe additional