, the Code of Ethics for Professional Accountants, and the issuance of improper auditor’s reports, as well as countermeasures for mitigating such risks. 4.1 Inspection results on the quality control
) Being able to show that it has established effective policy and measures for prevention of conflicts of interest, improper access to inside information among work units and personnel (Chinese Wall
management system; (7) Being able to show that it has established effective policy and measures for prevention of conflicts of interest, improper access to inside information among work units and personnel
in Wood Veneer Project for more wood sourcing channels to supply wood in varied sizes. For improper sizes being produced for company products, they will be in wood veneer production process for sale
assets; (b) Managing business in such a way that violates the law or fails to comply with the regulatory agency’s order or improper management of business; (c) Non-compliance of law, or unfair practice, or
cause damage, financial insufficiency and defective or improper business operation; (2) the applicant’s shareholding structure clearly reflects the power of controlling shareholders and their interests
any derivatives broker violates or fails to comply with this Notification or rules set out by the derivatives broker for compliance with this Notification or has improper conducts, the SEC Office may
customer base which the campaigns has been well received by customers. The number of “Boonterm Kiosk” in current total is 129,208 kiosks, decreasing 0.9% YoY, due to damaged kiosk from improper methods. The
rating; (8) investment advisory company shall not undertake any improper act which may cause damage to the user of information, mutual fund, asset management company, or confidence in securities business