The Securities and Exchange Commission (SEC) organized the SEC Capital Market Symposium 2023, an annual seminar to foster collaboration in research and dissemination of academic papers on capital
Advisory Agents dated 3 August 2009; (6) Clause 2 and Clause 3 of the Capital Market Supervisory Board No. TorThor. 71/2552 Re: Rules, Conditions, and Procedures for Operational Control of Securities
2009; (6) Clause 2 and Clause 3 of the Capital Market Supervisory Board No. TorThor. 71/2552 Re: Rules, Conditions, and Procedures for Operational Control of Securities Underwriting dated 3 August 2009
2009; (6) Clause 2 and Clause 3 of the Capital Market Supervisory Board No. TorThor. 71/2552 Re: Rules, Conditions, and Procedures for Operational Control of Securities Underwriting dated 3 August 2009
the website of the SEC Office: (a) certifying that such audit firm has a audit quality control system under Clause 11(1) and giving consent for an inspection by a representative of the SEC Office; (b
Increasing flexibility of supervision and control of securities business The SEC may exempt a securities company from undertaking or prescribe a securities company to undertake in a different manner from
the audit quality control system, and closely monitored the COVID-19 pandemic situation to adjust the oversight approach and communication with stakeholders to meet the changing situation. In so doing
financial reporting system and promote sustainable growth of the capital market. Regarding the supervision of audit quality, the SEC found that the inspection results of audit firms’ quality control system
to ensure the compliance with the ISAs, and c) inspecting the audit firm's quality control system to ensure compliance with the ISQM 1. 2.8.2 Checking whether applicant's
, b) inspecting audit works performed by the applicant to ensure the compliance with the ISAs, and c) inspecting the audit firm's quality control system to ensure compliance with the