) 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
operators should be capable of delivering quality services while complying with relevant regulations. During April – May 2023, the SEC conducted a public hearing to seek comments and suggestions on the
production efficiency and competitiveness enhancement. Another notable program was a soft loan program catering for Small Business clients in promising tourist attractions and commercial zones to help them
inspection results showed “no findings” accounting for 15 percent of the total approved auditors, a notable rise from 6 percent in 2015. In addition, the number of auditors having significant deficiencies in
company, or a financial institution established under a specific law under Clause 4(1) (2) and (4) shall possess the qualifications as follows: (1) being capable of operating the derivatives business of the
financial institution established under a specific law under Clause 4(1) (2) and (4) shall possess the qualifications as follows: (1) being capable of operating the derivatives business of the category under
) 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