planning, tax and ethics) and Module 2 (investment planning), curriculum recognized by the SEC Office, or any others under remark1. In case of passing CFP Module 1 and Module 2, the 2-year result validation
shall perform duties in accordance with standards and ethics regarding appraisal profession and with additional requirements regarding asset appraisal for widely used. In this regard, the appraisal report
firm considers as high risk? Please describe the relevant responses to these risks 2 Does the firm consider all ethical requirements outlined in the Code of Ethics during the risk assessment process for
, external reviewers should especially consider the relevance of the International Code of Ethics for Professional Accountants paying particular attention to section 4B – Independence for Assurance Engagements
proceeding, the SEC will bring an action against the alleged offender in the Civil Court. However, before filing a civil case, the alleged offender may agree to enter into a settlement agreement under 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
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
after having been granted an approval. The required course shall be a refresher course relating to law on securities and exchange, applicable rules and regulations as well as ethics and professional
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