FSC convened a colloquium for chief internal auditors of securities investment trust enterprises on November 24, 2021
In order to strengthen the communication with securities investment trust enterprises and improve the effectiveness of internal audit mechanisms, the FSC held a colloquium for chief internal auditors of 39 securities investment trust enterprises on November 24, 2021.
The session topics included the introduction of “Principles for Effective Financial Examination”, primary examination findings, recent regulation amendments and supervision focuses, the regulation of ESG theme fund, and the importance of corporate integrity.
During the meeting, the FSC exchanged a wide range of opinions on topics, including recent supervisory issues and critical audit matters with all participants. With two-way communication, it allowed financial institutions to gain a better understanding about the supervisory concerns and the examination focuses.