resembles the international supervisory framework. The audit quality control regulatory shall be performed at both individual auditor level and firm level. In order to enhance quality and reliability of the
over five years per period 2.1.2 Qualification of Approved Auditor An auditor to be granted approval by the SEC shall possess qualifications of an individual person and of the firm to
have control over the executives in risk management, financial management and business strategy. The securities issuing company must disclose the minimum requirements in a format and within the
invested securities on a regular schedule. Such incidents are beyond the control of the mutual fund management company and the mutual fund supervisor is informed and acknowledged about the situation. (5) The
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
Derivatives Broker Registered Derivatives Broker Securities Dealer Securities Companies and Other Financial Institutions Staff or Agent (individual) Acting as Investor Contact of the Company
possible limit of individual freedom, regulation is essential to uphold market credibility and orderliness. Yet, the regulator’s exercising of power must be prudent, fair and only as necessary to protect the