confidence and prevent recurrence of the problematic issue. In response to the said incidents, the International Organization of Securities Commissions (IOSCO) issued “Principle of Auditor Oversight," to its
juristic person and a shareholder or a partner of the said juristic person who holds shares or partnership in such juristic person, either directly or indirectly, more than fifty percent of the total sold
juristic person and a shareholder or a partner of the said juristic person who holds shares or partnership in such juristic person, either directly or indirectly, more than fifty percent of the total sold
-off or any other matters of unfair treatment against such person because the said person: (1) gives information, cooperates or gives assistance by any means to the SEC, the Capital Market
-off or any other matters of unfair treatment against such person because the said person: (1) gives information, cooperates or gives assistance by any means to the SEC, the Capital Market
conflict of interests, such director must has no benefit or interest of the said nature during the period of 2 years before his appointment as a member of the audit committee. However, if board of directors
securities business in the said category mutual fund management under this Ministerial Regulation. Clause 3 Limited company or public limited company newly established for operating securities business in the
either wholly or partially until the said securities company rectifies such matter. In this juncture, the SEC may also order the securities company to undertake any step for the purpose of maintaining
bigger concern is the stipulation of rules, procedures, and methods for clear and transparent consideration of board remuneration and nomination. Q: Is it permissible for either of the said committees to
, his decision has met the following requirements shall be deemed that the said director or executive has performed his duty with responsibility and due care under the first paragraph: (1) decision has