Statistical Highlights Audit Committee Statement Report on Internal Control over Financial Statements Financial Statements Appellate Committee Arbitrators Sub-committees 2 3 4 6 8 11 21 27 30 34 41 50 58 70 76
listed companies’ financial statements, being an auditor for non-listed companies’ financial statements, and being responsible for managing and supervising their audit firms’ quality control system for
Achievements Corporate Social Responsibilities SEC Strategic Plan for 2015 Appendix Statistical Highlights Report of the SEC Board on Internal Control over Financial Reporting Audit Committee Report 2014 Report
compliance of rules; (5) supervising the internal control unit; (6) performing any other duties assigned by the SEC. In executing the duties under the first paragraph, the Audit Committee shall report to the
in the matter of auditing financial statements; (4) re-examining and reviewing compliance of rules; (5) supervising the internal control unit; (6) performing any other duties assigned by the SEC. In
, hereby certify and consent to the followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply with the
registration to be a derivatives business operator in the category of derivatives broker and derivatives dealer, additional matters in detail are required as follows: 2.4 Policy and measure on risk control and
of other companies with a purpose to gain control in such companies rather than to invest for ordinary returns; (8) “Subsidiary company” means (a) Any company whose 75 percent or more of its total
undertaking core business in holding shares of other companies with a purpose to gain control in such companies rather than to invest for ordinary returns; (8) “Subsidiary company” means (a) Any company whose
with Chapter 1; (2) establishment of policies, measures, and management arrangement concerning information security in accordance with Chapter 2; (3) management of IT assets and the access control to