2562 1 (Leadership Responsibilities for Quality within the Firm) ( ) (2) 2 (Relevant Ethical Requirements) ( ) ( ) 3 (Acceptance and Continuance of Client Relationships and Specific Engagements) (1) (3
and Exchange Act, then a license from the SEC is required under the first paragraph. The application for a license or registration, the issuance of a license or the acceptance for registration shall be
matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes · Checklists
and common guidelines for notifying facts related to acceptance of assets which are rights of claim and the change of agent to collect and receive payments of debt. For further details of this
investment consultant and set the period for acceptance of her re-application for approval as capital market personnel for 5 years. In this case, the period for acceptance of her re-application for approval as
consultant and set the period for acceptance of her re-application for approval as capital market personnel for 5 years. In this case, the period for acceptance of her re-application for approval as capital
SEC therefore revoked the approval of {A} as capital market investment consultant and set the period for acceptance of his re-application for approval as capital market personnel for 2 years and 11
collectively and concurrently and the consideration is divided into three areas, namely (1) acceptance of reports via electronic system instead of hardcopy submission, (2) discontinuation of reports to the
A. RAP & Client Acceptance A.0 Risk Assessment Process for Acceptance and Continuance of Client Relationships and Specific Engagement element: Firm's Reference /Guidance Notes Description 1 What are