following rules: (1) Changing of a mutual fund supervisor, in the case that the mutual fund supervisor fails to correct the qualifications within a specified period. (2) Calculation and announcement of net
market products by using the client’s information obtained from knowing the client process and assessment of suitability test; (5) provide the additional warning that risky or complex capital market
: (1) an association relating to a securities business, of which objectives is for promoting and developing securities business, having obtained an approval to establish and having registered [such
attempt to adapt to the ever-changing business environments and transactions that are becoming increasingly complex, it is crucial that accounting professionals, especially auditors, possess qualities that
be authorized person to determine the sales price and other details that is in relation with this increase in capital. This include amending, adding, changing terms and details that are related to the
institution established in accordance with other laws, and after having obtained a license from the Minister upon the recommendation of the SEC. The formation of a limited company or of a public limited company
institution established in accordance with other laws, and after having obtained a license from the Minister upon the recommendation of the SEC. The formation of a limited company or of a public limited company
Knowledge (2) Related Rules and Appropriate Investment Advisory (3) Knowledge on non-complex capital market products 1 Obtained a bachelor’s degree ✓ ✓ ✓ 2 Passed Level 1 or higher of the Certified Investment
Planning (CFP module 1 and module 2, curriculum approved by the SEC Office, or any others under remark 1)2 1 Qualified to apply for, or having obtained, an approval to be a capital market investment analyst
the following changes to be made to the report so that more comprehensive information can be obtained as needed, for example, 1) country code of the securities issuer, 2) average cost of securities