. 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
cover duties of a CFO in relation to financial reporting, financial report analysis, principles and impacts of accounting standards on financial reporting. The relevant courses organized by official
) 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
faith Report to the SEC within five business days as from the date on which the mutual fund management company knows, and the report shall contain a corrective measure. / X X The votes of the
faith Report to the SEC within five business days as from the date on which the mutual fund management company knows, and the report shall contain a corrective measure. / X X The votes of the
open-end mutual fund; The scheme shall specify a procedure for the offering and redemption of the investment units for high net worth investors, provide an organized market, anddesignate at least one
open-end mutual fund; The scheme shall specify a procedure for the offering and redemption of the investment units for high net worth investors, provide an organized market, anddesignate at least one
unitholders shall be sought through an organized meeting 7. Leveraging (including issuing of debt instruments) no restrictions not more than three times of the equity (the same as applied for IFFs) 8
unitholders shall be sought through an organized meeting 7. Leveraging (including issuing of debt instruments) no restrictions not more than three times of the equity (the same as applied for IFFs) 8