pros and cons and the costs of compliance 4. Seek approval for the measure from SEC Board/CMSB/SEC Office 5. Conduct public consultation on the measure: focus group meetings/public hearings This
approval. However, if a mutual fund management company files an application for automatic approval not in compliance with the specified conditions, the SEC may proceed with one or more of the following
approval. However, if a mutual fund management company files an application for automatic approval not in compliance with the specified conditions, the SEC may proceed with one or more of the following
oversight 2. Auditor supervision 2.1 Regulatory Summary of Approved Auditor in Capital Market 2.1.1 Filing of Application Auditor wishing to file an application for approval with the
compliance with the ISQM 1. 2.8.2 Checking whether applicant's qualification meet with Fast Track Approval Conditions Foreign auditor to be approved by the SEC under fast track approval system shall hold
compliance with the ISQM 1. 2.8.2 Checking whether applicant's qualification meet with Fast Track Approval Conditions Foreign auditor to be approved by the SEC under fast track approval system shall hold all
submitted for an approval. The following qualifications will be considered: 1. Compliance with commitments required by the Ministry of Finance. 2. Offering of the bonds is legally made under the foreign laws
. Regulatory Summary Main Duties of a Trustee Ensure that the trust deed is executed in compliance with the laws Appoint a trust manager Prepare a trust property account in separation from any other accounts
Placement to Institutional Investors (II) Private Placement to High Net Worth I nvestors (HNW) Public Offering (PO) Approval Qualifications and approval rules - Applicable to the offering
Investors (II) Private Placement to High Net Worth Investors (HNW) Public Offering (PO) Approval Qualifications and approval rules - The approval will be granted upon the registration of the