compliance with applicable law and standards. Principle 6.5 The board should establish a mechanism for handling complaints and whistleblowing. Guidelines 6.5.1 The board should oversee that an effective
, applicable to all directors, executives, employees and staff of the company. 1.2.4 The board should ensure effective implementation including regular communication of the company’s policies and guidelines to
, as appropriate. Principle 7.5 The board should ensure the establishment of a dedicated Investor Relations function responsible for regular, effective and fair communication with shareholders and
requires that the auditor of the entities in the capital market be approved by the SEC so that the SEC will be capable of regular monitoring the quality of audit work performed by such auditor, which
under its responsibility Ensure that units offered for sale exclusively for high net worth investors are not allocated to retail investors Oversee to ensure that the trust is not becoming a private trust
. A trustee's main duties are to: oversee that the trust instrument is established in conformity with relevant laws; appoint a trust manager; prepare a trust property account in segregation from a
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
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
an independent director) Trustee's duties A trustee shall have a trustee license and is independent from a trust manager. A trustee's main duties are to: oversee that the trust instrument is
business, employee, staff, advisor earning regular monthly salary, controlling person during the period of two preceding years. Relaxation of this requirement is in the case where the person is retired as a