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
work process that absolutely prevents duplication or remaking of such documents and requires regular review, 100 percent log record, as well as internal and external audit to certify that the company has
work process that absolutely prevents duplication or remaking of such documents and requires regular review, 100 percent log record, as well as internal and external audit to certify that the company has
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
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
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
well as considering the operation, compliance with the law, rules, and regulations, investigating and inquiring, and any other act in accordance with the missions of the SEC Office so as to ensure
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