results should be used to strengthen the effectiveness of the board. Principle 3.8 The board should ensure that the board and each individual director understand their roles and responsibilities, the nature
individual director understand their roles and responsibilities, the nature of the business, the company’s operations, relevant law and standards, and other applicable obligations. The board should support all
Derivatives Broker Registered Derivatives Broker Securities Dealer Securities Companies and Other Financial Institutions Staff or Agent (individual) Acting as Investor Contact of the Company
comply with applicable law and standards. Guidelines 6.1.1 The board should be aware of and understand the nature and scope of the company’s principal and substantial risks and should approve the risk
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
determine a violation and take an action on any individual or firm, the SEC would investigate and gather information, facts and evidence concerning the violation. Generally, an alleged offender may clarify or
Individual Clients (SEC Circular SEC. Thor. 1/2547) To be filed within seven days of the following week. Monthly Reports Unaudited Monthly Financial Statement (Form Bor.Lor. 2 & Bor.Lor. 2/1
foreign exchange rate exposure must be fully hedged; 2. In the case that the mutual fund has the policy for distribution of return payment, the return payment must be straight forward and easy to understand
of and understand the status of the mutual fund after the amalgamation/merger: 4.1 U p-to-date investment portfolio; 4.2 A co mparative summary of key information and differences of the mutual
foreign exchange rate exposure must be fully hedged; 2. In the case that the mutual fund has the policy for distribution of return payment, the return payment must be straight forward and easy to understand