our role and fiduciary responsibilities: Principle 1: Adopt a clear written Investment Governance Policy. Principle 2: Properly prevent and manage conflicts of interest and prioritise advancing the best
: Operational Control and Security of the Information Technology of Securities Company For the purpose of rendering the securities companies to efficiently comply with the Notification of the Office of Securities
property, incomes, expenses and debts of the trust and any relating accounts of the trust; (4) oversee and collect interest of the trust; (5) allocate interest to beneficiaries; 14 (6) control, audit and
the trust and any relating accounts of the trust; (4) oversee and collect interest of the trust; (5) allocate interest to beneficiaries; (6) control, audit and prevent the management of trust from
............................................................ B. Engagement Level ............................................... Root cause analysis and examples of action plans to improve the quality control system .................. Our Focus for the Third
, both listed companies and audit firms ought to put in place proper work processes and internal controls to ensure the desired outcomes. Listed companies need a suitable internal control system and a well
internationally accepted standards, the effectiveness of its systems of internal control, and the independence of the external audit process; f) oversee the implementation of effective risk management and
Re: Operational Control and Information Technology Security of Securities Companies Whereas in these days securities companies widely accept information technology as an instrument for securities
are clearly defined in conformity with the good internal control principle. We also emphasize thorough, accurate and regular disclosures on risk, capital and liquidity management to the public. 3
reporting lines are clearly defined in conformity with the good internal control principle. We also emphasize thorough, accurate and regular disclosures on risk management and capital to the public. 3 Details