pros and cons and the costs of compliance 4. Seek approval for the measure from SEC Board/CMSB/SEC Office 5. Conduct public consultation on the measure: focus group meetings/public hearings This
and offering of shares Request for approval Disclosure of information Subscription/ sale and allocation Post-offering duties Request for Approval Directors, executives and majority shareholders do not
. Sales reports – issuers are required to report the sales of debt securities to the SEC within the required timeframe. Post-offering obligations – issuers are required to make complete, timely and accurate
) have measure to control and manage risks associated with business operation; (4) have effective measure on internal control with respect to business operation; (5) have operational system promptly for
, who are capable and have experiences beneficial to business operation; (3) have measure to control and manage risks associated with business operation; (4) have effective measure on internal control
contain a corrective measure. / X X The votes of the excess units over one-third shall not be counted * / / / Pay dividend in the total amount X / / Correct the proportion within two months
consideration of prohibited characteristics of such auditor. 2.1.4 Post-Approval Duties (1) Complying with the specified rules: performing an audit work in giving opinions on financial statements with
. Post-Approval Duties Complying with the specified rules: performing audit works with accountability in accordance with the professional code of ethics, professional standards, and other
approval if he/she wishes to and has to file application and supporting documents in advance before the end of approval period. 5. Post-Approval Duties Complying with the