In case of the death of independent director, resign or terminate by the SEC office or where Derivatives broker is a part of financial conglomerate which has share holding structure, examination of

a part of financial conglomerate which has share holding structure, examination of internal audit and regulated by other competent regulators according to the notification of the SEC. The SEC Office

part of financial conglomerate which has share holding structure, examination of internal audit and regulated by other competent regulators according to the notification of the SEC. The SEC Office has

qualifications and work experiences: (a) having passed the Level 1 examination of Chartered Financial Analyst (CFA) or Certified Investment and Securities Analyst (CISA) or any other equivalent examinations

Level 1 examination of Chartered Financial Analyst (CFA) or Certified Investment and Securities Analyst (CISA) or any other equivalent examinations approved by the Office and having work experience in

. ✓ ✓ ✓ ✓ ✓ ✓ Information on the inspection of the quality of balance sheets and action undertaken with the listed company. ✓ ✓ ✓ ✓ ✓ 1. Making of a tender offer; 2. Business takeover; 3. Report of the results of the sale of

website of the SEC Office: (a) certifying that such audit firm has an audit quality control system under Clause 11(1) and giving consent for an inspection of the system by inspectors from the SEC Office; (b

and methods specified in the Licensing Manual for the Public and notify the issues derived from the examination of such facts for the applicant to clarify within the period specified by the SEC Office

[3] years during a period of five [5] years prior to the application date. Unless such person having passed the Level 1 examination of Chartered Financial Analyst (CFA) or Certified Investment and

for a total period not less than three [3] years during a period of five [5] years prior to the application date. Unless such person having passed the Level 1 examination of Chartered Financial Analyst