) Director, executive or controlling person of securities issuing company (2) Employee or worker of a securities issuing company who holds a position, or is in the line of work, is responsible for or capable
) Director, executive or controlling person of securities issuing company (2) Employee or worker of a securities issuing company who holds a position, or is in the line of work, is responsible for or capable
addition, there is no reasonable ground to believe that the applicant has any deficiency or is not appropriate regarding control and sound business conduct; (3) being able to maintain capital funds and set
) being able to show that an internal control system capable of preventing wrongful acts that may cause damage to securities issuers or securities holders will be put in place. Clause 4 The application for
License and Granting of License to Provide Services as Securities Registrar (No. 4) dated 27 October 2003 (effective on 1 November 2003). 2 (4) being able to show that an internal control system capable of
License and Granting of License to Provide Services as Securities Registrar (No. 4) dated 27 October 2003 (effective on 1 November 2003). 2 (4) being able to show that an internal control system capable of
the client is legally capable for executing legal acts with digital asset business operators, and review the KYC to ensure that the client’s information is updated and accurate when it appears that the
uncertainty. Assuming that investors are able to calculate variability of future earnings and employ it as an estimation of fundamental risk. They perceive that future earnings variability is lower for firms
Human resources are significant factors to audit quality. Accordingly, retaining competent and capable human resources in the audit firms’ rosters will contribute to high-standard audit quality. High
. This is to allow capable investors access to more diverse investment channels, and to strengthen competitiveness of asset management companies. The draft revisions involve: (1) determination of