expiration of the approval term can submit their ‘pass’ examination result or their graduation evidence in filing for renewal approval with the Office without having to attend any further training. 3
had announced significant measures using for employees and visitors as follows; - Service staff needs to wear a face mark whole the times while working - Providing body temperature examination before
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
examination of the working paper and the audit quality control system and specify the list of working papers to be examined; - On-site inspection, notify and confirm the issues found verbally; - Consider the