planning, tax and ethics) and Module 2 (investment planning), curriculum recognized by the SEC Office, or any others under remark1. In case of passing CFP Module 1 and Module 2, the 2-year result validation

for capital market transaction, an appraisal company in capital market and a lead appraiser shall perform duties in accordance with standards and ethics regarding appraisal profession and with

firm considers as high risk? Please describe the relevant responses to these risks 2 Does the firm consider all ethical requirements outlined in the Code of Ethics during the risk assessment process for

, external reviewers should especially consider the relevance of the International Code of Ethics for Professional Accountants paying particular attention to section 4B – Independence for Assurance Engagements

other persons or for the benefit of the derivatives business operator, including a person who is authorized by the Board of Directors to be a member of a committee who performs the duty in management

, derivatives operation, supervision of derivatives operation, or research relating to derivatives contract, regardless of the fact that such function provides services for other persons or for the benefit of the

provides services for other persons or for the benefit of the derivatives business operator, including a person who is authorized by the Board of Directors to be a member of a committee who performs the duty

of work is to provide services for other persons or for the benefit of the company itself; “Executive director” means any person who is appointed by the board of directors as executive director or

mutual funds. This will also benefit to the development of new financial instruments, such as instruments with limited loss, instruments with principal and minimum return protection. The success of the

2566-2#2I-!9%*44 (website) Dec 66.xlsx Statistics of Civil Sanctions (As of 31 December 2023) Cases Persons Civil Monetary Penalty A compensation at an equal amount to the benefit received A