) Elevate standards for the supervision of gatekeepers to prevent inappropriate conduct, and (3) Leverage technology to broaden access to financial information of small-and medium-sized listed firms
) certifying that if the auditor of such audit firm is granted an approval from the SEC Office, the audit firm shall monitor and improve the audit quality control system in compliance with the standards
characteristics; (a) a regulatory agency which has standards on governing auditor on par with international standards and recognized by the International Forum of Independent Audit Regulators (IFIAR) or the
the first refresher course relating to securities and exchange laws, relevant rules and regulations and ethics and professional standards administered by an association or a training institute
person qualified to be fund manager shall attend the first refresher course relating to securities and exchange laws, relevant rules and regulations and ethics and professional standards administered by an
Investor Contacts and Standards of Conduct ______________________ By virtue of: (1) Clause 3(2) of the Capital Market Supervisory Board No. TorNor. 27/2552 Re: Rules, Conditions, and Procedures for
Standards of Conduct ______________________ By virtue of: (1) Clause 3(2) of the Capital Market Supervisory Board No. TorNor. 27/2552 Re: Rules, Conditions, and Procedures for Establishment and Management of
regulations as well as ethics and professional standards arranged by the association or the training institute. If such approved person fails to attend the training course within the specified period, the