and Audit Oversight > Auditor Supervision Regulations SHARE : Detail Content Financial reporting and audit oversight 2. Auditor Supervision The SEC has put its continuing effort on
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
, 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
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
invested securities on a regular schedule. Such incidents are beyond the control of the mutual fund management company and the mutual fund supervisor is informed and acknowledged about the situation. (5) The
, applicable to all directors, executives, employees and staff of the company. 1.2.4 The board should ensure effective implementation including regular communication of the company’s policies and guidelines to
Office ensures that the service provided by the cloud provider is reviewed on a regular basis. As for hard copy documents and printed materials, the SEC Office scans hard copy documents and printed