approval prior to issuance and offer for sale of securities; however, the consideration process must not impose excessive obstacles or costs on the issuing companies.   ·      The SEC requires that

the Revenue Code. To be able to certify the financial statements of an issuing company, an Auditor must obtain an approval from the SEC.   See the SEC-Approved Auditor List . ​ An Auditor has the duty

approval prior to issuance and offer for sale of securities; however, the consideration process must not impose excessive obstacles or costs on the issuing companies.   ·      The SEC requires that

more evidence is needed to show that good governance leads to good performance. The revised G20/OECD Principles on Corporate Governance Taking place just after the revision and endorsement of the

securities business | - |- Registration |- Paid up Capital |- Fees |- Net Liquid Capital Rule (Section 49) |- Executives / Personnel | - |- Approval & Qualifications (Section 24) |- Major Shareholders

whole or in part, to manage the business of the securities company only with the approval from the Office. In cases where it later appears that the persons under the first paragraph have the prohibited

whole or in part, to manage the business of the securities company only with the approval from the Office. In cases where it later appears that the persons under the first paragraph have the prohibited

Essentially, the draft amendment to the regulations governing capital market business personnel would (1) extend the period for renewal of approval to be on any business day until the last

. Form 61-1 (Application for Approval of Auditor)  .pdf file  |  .doc file​ 2. Form 61-2 (Certification and Consent of Audit Firm)  .pdf file ​   |    .doc file 3. Form 61-3 (Notification for Change of

of Approval for Investor Contacts In continuation of the Notification of the SEC Office No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards of Conduct dated 21 June 2005 as amended by