their audit work as a signing partner; and (4) allow capital market auditors who are unable to maintain their qualifications as a leader or a partner of an audit firm or an equivalent position to
maintain the minimum net capital of B15 million (or at least B25 million if holding derivatives agent license). In addition, securities companies must maintain the minimum net liquid capital of at least 7
the term of the program under Clause 27 and Clause 52, certain facts appear to the SEC Office showing that the approved entity has failed to maintain the qualifications in accordance with the approval
acknowledgement of procedures for making a deposit or withdrawal of assets with or from the securities company, and methods for undertaking custody of clients’ assets as well as fees charged for custody of such
procedures for making a deposit or withdrawal of assets with or from the securities company, and methods for undertaking custody of clients’ assets as well as fees charged for custody of such assets (if any
/ 2020. The reason for the increase revenues due to increased sales of both domestic and international. Although it has the COVIC-19 epidemic situation, but still maintain a close relationship with
consider and approve the following matters: (1) Exemption from an event of default for the bond issuer’s non-compliance with the requirement to maintain the Interest-Bearing Debt to Equity Ratio of
for consideration of approval as follows: (1) A waiver in the case where the bond issuer is unable to maintain an interest bearing debt to equity ratio not exceeding 3:1, as reflected in the
their objectives of safeguarding client benefits, enhance their trustworthiness, and maintain overall market integrity, but also reflect their self-discipline which would further reduce chances of law