manager or any other person to act on its behalf (if any); (14) a letter providing an audit committee’s opinion on sufficiency and appropriateness of internal control system of the applicant and its
offers guidelines for the board’s assessment of the Company’s internal control adequacy: (1) adequacy and appropriateness of the internal control system and staff sufficiency to ensure work efficiency
governance structure and material facts related to the board, 23 subcommittees, executives, employees and others 8. Report on key operating results related to corporate governance 28 9. Internal control and
Achievements Corporate Social Responsibilities SEC Strategic Plan for 2015 Appendix Statistical Highlights Report of the SEC Board on Internal Control over Financial Reporting Audit Committee Report 2014 Report
which supports the pursuit of the company’s objectives by considering appropriateness of business functions and legal requirement. There is, also effective internal control function. For example, there is
Securities and Exchange Commission No. Or Thor. 21/2543 Re: Guidelines for the Operating Control of Brokerage and Dealing of Securities That Are Not Debt Instruments _____________________________ For the
Securities and Exchange Commission No. Or Thor. 21/2543 Re: Guidelines for the Operating Control of Brokerage and Dealing of Securities That Are Not Debt Instruments _____________________________ For the
control system at the firm level and the individual engagement level, the SEC encourages all stakeholders to attain a better understanding and awareness of their roles within the ecosystem, from the
September 2013; “software program” means any calculation system which displays an analysis to give advice on the value or the appropriateness of any investment in securities or derivatives; “IT assets” means
September 2013; “software program” means any calculation system which displays an analysis to give advice on the value or the appropriateness of any investment in securities or derivatives; “IT assets” means