supervising securities businesses; 3. The SEC Office implementing policies, inspecting licensed/approved corporations and individuals, and developing financial products. Meanwhile, the Audit Committee
directors; following up and inspecting their performance A Right in Filing Complaints and Lawsuits In case a shareholder is affected by misconduct of a director or a management executive, the s hareholder
integrity. The SEC also oversees regulatory compliance and enforces the governing laws to ensure that the capital market will be developed toward sustainable growth and generate positive impacts on the
in inspecting the audit quality control system; providing an explanation or submitting any other information or taking any other actions as required by the SEC. 2.1.5 Termination of Approval (1
service under this Ministerial Regulation, the competent officer shall, upon the applicant’s consent, enter into the applicant’s place of business or premises or any place necessary for inspecting the
rohibited behaviors, b) inspecting audit works performed by the applicant to ensure the compliance with the ISAs, and c) inspecting the audit firm's quality mangement system to ensure
rohibited behaviors, b) inspecting audit works performed by the applicant to ensure the compliance with the ISAs, and c) inspecting the audit firm's quality management system to ensure
: Step1: Analyzing stakeholders - Internal stakeholders, e.g. shareholders, employees - Directly relevant parties, e.g. customer, suppliers, competitors - Indirectly relevant parties, e.g., government
to generate benefits from the property Manage the trust according to the trust instrument and relevant laws Calculate and disclose the asset value of the trust and the units Maintain the property in
for inspecting the applicant’s financial condition, business operation, assets or any relevant data. Clause 10 In case where the SEC is of the view that the applicant under Clause 7 or Clause 8 has