responsibly, avoiding taking advantage of or misleading customers, or causing misunderstanding about the products and services offered by the company. (3) Responsibilities to business partners by engaging in
to act in any manner that may contravene the securities laws, without a chance of avoiding such order, is the company secretary liable to contravention of such laws as well? If so, what penalties apply
, 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
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
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
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
, 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