and private fund management. Furthermore, PPI used website: www.ppi-advisory.com to lure investing public that it had very knowledgeable and experienced adviser team to provide appropriate investment
knowledgeable and experienced adviser team to provide appropriate investment advice and management for the clients. The aforesaid person jointly operated securities business without obtaining license from the SEC
at least of the following: □ (1) Number of employees; □ (2) The qualifications to prove that personnel is knowledgeable, competent and experienced suitable for the assigned task and such personnel
of employees; □ (2) The qualifications to prove that personnel is knowledgeable, competent and experienced suitable for the assigned task and such personnel hasbasic understanding of general laws
approval criteria for auditors in the capital market but certain qualifications will be relaxed such as job title, audit experience and experience in giving opinion for financial reports.The consultation
derivatives exchange; “derivatives clearing house” means an entity licensed to operate business as a derivatives clearing house; “personnel in derivatives business” means: (1) a person who assumes a job for the
are one of the key drivers of transactions in the capital market. Hence, they are obligated to adhere to professional ethics and be knowledgeable in the area of good corporate governance in order to
, please describe 2 How the firm’s job evaluation / appraisal process works? How often job evaluation made? 3 Does the firm’s appraisal process gives due recognition and reward to competence, compliance with
. - Optimize the job allocation system to the staffs in each level by considering the complexity of the job and estimate budget hours that would reflect more rationality. - Refrain from accepting new audit
Evaluation: Firm's Reference /Guidance Notes Description 1 Does the firm have a documented and organized appraisal policy and process? If yes, please describe. 2 How does the firm’s job evaluation / appraisal