”), whose works were found deficient by internal reviewers or the SEC, and they would additionally be required to submit written explanations, describing causes of their deficiencies and future corrective
(UNOFFICIAL TRANSALTION) Qualifications of Applicants for Approval of Investment Planner No. Relevant Knowledge Qualifications List of Required Examination 1 (1) Fundamental Knowledge (2) Related
Experience1 List of Required Examinations2 Investment Analysis on Securities3 and Derivatives Related Rules on Investment Analysis 1 Passed Level 1 or higher of the Certified Investment and Securities Analyst
proposed regulations can be summarized as follows: 1. Disclosure and submission of PVD Factsheet 1.1 In case of adding a new investment policy to the existing PVD, the AMC would be required to disclose
and Submission of PVD Factsheet, divided into two cases, i.e.: In case of adding a new investment policy to the existing PVD, the asset management company (AMC) is required to disclose the PVD
Experience1 List of Required Examinations2 Investment Analysis on Derivatives Related Rules on Investment Analysis 1 Obtained a bachelor’s degree. Local or foreign organization for a total period of at least 2
. In view of paragraph 3.2.2(1)(a), a Recognized Representative: (i) is not required to be a full-time employee of the Licensed Firm; (ii) is not required to be attached to a Licensed firm in the Host
community of stakeholders. They are updated as required in order to reflect the development and growth of the global Green Bond market. The GBP, and the Principles generally, are coordinated by the Executive
required considerable amount of professional judgment. We also noted that some audit partners took on too much workload than what they could have reasonably handled and that indeed affected the quality of