Approval of Auditors in the Capital Market
market personnel including new types of capital market personnel required to obtain the SEC?s approval due to their vital responsibilities having high impact on the clients. The approval will be applicable
characteristics in Group 3 under Clause 31, the SEC Office may either suspend or revoke the approval as deemed suitable for such case. Clause 34 In case a person who is personnel in the capital market business and
Application for Approval and Granting of Approval for Offering of Newly Issued Shares
Rules on Application for Approval and Granting of Approval to Undertake Trust Business
capital market auditors. Most respondents agreed with the proposal, viewing that a minimum of four auditors was appropriate. Additionally, they suggested that the SEC give audit firms a suitable timeframe
to enable investors to decide and select such investment in a mutual fund suitable to their need. (2) The mutual fund management company has duly proceeded to apply for approval for the mutual fund
units of any scheme, should any of the following events occur, the Office’s approval for the establishment and management of the mutual fund shall cease accordingly, unless there is an appropriate reason
and damages that may occur to the company and the stakeholders. It is therefore a duty of the company’s board of directors to ensure that the company has in place an appropriate and adequate internal