institute or training course accepted by the Office no longer than two years on the date of submission of application and submits the application within 1 July 2007 in case of an applicant for approval for
assigned to take direct responsibility for accounting supervision, the Company’s secretary and the representative for contact and coordination in case of a foreign company Attachment 2: Details of the
coordination in case of a foreign company Attachment 2: Details of the directors of subsidiaries Attachment 3: Details of the Heads of the Internal Audit and Compliance Units Attachment 4: Assets for business
, regulations, codes of conduct, and relevant law. In case such investor contact also obtained approval to be derivatives investor contact, the syllabus of the training, activities, or additional courses must
’ study on rules, regulations, codes of conduct, and relevant law. In case such investor contact also obtained approval to be derivatives investor contact, the syllabus of the training, activities, or
listed companies for those people. In addition, amendment to the governing rules will add possession of accounting knowledge and passing of minimum training courses to the qualifications of financial
case of a private placement), etc. - Specify other important details of the offer for sale of the securities, for example, the issuer (only in the case of the existing securities holders offering their
Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order
The current criteria require investment analysts (IA) seeking renewal of their approval to undergo a knowledge refresher by completing training or participating in eligible activities for no less