audit quality control system in accordance with the prescribed standard. The rules and regulations on approval shall particularly address audit quality control at both firm and individual engagement level
be granted approval by the SEC shall possess qualifications of an individual person and of the firm to which the auditor is attached as prescribed by the regulations summarized below: Individual
independent directors / Audit Committee (AC) to act for the interests of individual investors? What is the corporate governance and internal control system? Disclosed information Board of directors and
Fast Track qualifications will be inspected by the SEC prior to approval. The inspection may include, but not limited to a) checking the basic individual qualifications of the applicant i.e. having
individual qualifications of the applicant i.e. having extensive audit experience, holding a CPA license, not possessing prohibited characteristics and rohibited behaviors
and from overseas ; (4.3) An event that prevents the mutual fund from receiving payments from the invested securities on a regular schedule. Such incidents are beyond the control of the mutual fund
and from overseas ; (4.3) An event that prevents the mutual fund from receiving payments from the invested securities on a regular schedule. Such incidents are beyond the control of the mutual fund
strategies, plans and targets. b) Ensuring robust system for risk management and internal control c) Clearly defining management’s responsibilities d) Overseeing appropriate policies and plans for resource
management of IT resources, including criteria to identify IT priorities, that takes into consideration the company’s business model. Principle 6 Strengthen Effective Risk Management and Internal Control
Financial Institutions Staff or Agent (individual) Acting as Investor Contact of the Company Derivatives Dealer Licensed Derivatives Dealer Securities Investment Advisor Securities Company and Other