Rules and Appropriate Investment Advisory (3) Knowledge on complex and non-complex capital market products e.g. derivatives, debt securities, and high-risk or complicated mutual funds (4) Investment

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conducting its business at a high standard of Good Corporate Governance practices, particularly regarding the rights and equitable treatment of its shareholders. It is our responsibility to enhance the

holding securities for investment by the securities company itself; (3) Bearing a responsibility for the clearing and settlement for securities. (As amended by Section 5 of the Securities and Exchange Act

opinions on the SEC readiness and related risks to ensure all tasks run cautiously and efficiently. Transparency is also a top priority along every line of responsibility, from granting licenses to

audit partners more time to concentrate on their audit engagements. 17 Independent Audit Inspection Activities Report 1 January – 31 December 2014 Leaders’ responsibility to partners’ deficiencies Being

corporate governance of listed companies, enhance corporate social responsibility, and prevent corruption for sustainable development. This would promote economic growth in the long run. Meanwhile, there will

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