and work systems to ensure orderliness, fairness, efficiency and reliability of market activities, and support appropriate fundraising, investment and securities trading to promote continuing growth of
and work systems to ensure orderliness, fairness, efficiency and reliability of market activities, and support appropriate fundraising, investment and securities trading to promote continuing growth of
conflict of interest must not do business which is in competition with the company. There must be no related party transaction (RPT) or potential RPT or if there is, there must be adequate measure to manage
. Study international supervisory measures and standards 3. Conduct regulatory impact assessment: Analyze the pros and cons and the costs of compliance 4. Seek approval for the measure from SEC Board
cases of corporate fraud; Supervising business operators to take care of investors with fair and reliability; Educating and warning investors to ensure they have sufficient knowledge for decision making
interests from investors and parties wishing to raise fund at an international level. Participating in assessment programs organized by international agencies provides opportunities to measure our practice
at both individual auditor level and firm level. In order to enhance quality and reliability of the financial disclosure system of the entities and auditors, the SEC has revised the rules on approval
) 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
) 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
experience in reviewing the reliability of financial statements. Rights of Shareholders and Institutional Investors “Shareholders” are considered company’s owners who control the company indirectly by