appoint competent officers to perform duties in accordance with this Act. Such ministerial regulations shall come into force upon publication in the Government Gazette.

testimony to competent officer - - 1 1 - - - - Failure to comply with the competent officer's order - - - - - - 1 2 Failure to uphold professional standards - - - - - - - - Grand Total 43 80 29 137 111 218 32

fund, the Government Pension Fund, provident fund or any other legal entities as specified in the notification of the SEC. 4 “competent official” means any person appointed by the Minister to perform

household income were decreased, together with household debt that remained stay in high level, therefore it caused the decrease of household sector’s purchasing power continually. While the investment of

establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent

conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties in

maintain substantial and adequate financial resources continuously; (5) market conduct An intermediary shall undertake business in keeping with proper standards of market conduct; (6) competent staff

violation The SEC Office issues an administrative order to enforce any regulated person. The SEC Office presents the case to the competent authority. End Administrative Order Issuance Administrative Sanction

-functioned accounting department, equipped with competent staff, as well as a seasoned and independent audit committee to oversee the process. As the function that originates all types of the financial

securities and exchange. “competent officer” means a person appointed by the Minister to act in accordance with this Emergency Decree. “Minister” means the Minister in charge of the execution of this Emergency