) Types and Scope of Duties Qualifications Qualifications of Applicants for aApproval of Investment Planner Qualifications of Applicants for Approval of Investment Consultant on Complex
statements. The scope of power and duties is clearly specified. Directors / executives must not have untrustworthy characteristics pursuant to the specified criteria and have their names on the database
adverse opinion on the financial statements; A qualified opinion on any significant transaction that incompliance with accounting standards; An opinion that the auditing scope is limited by the company or
reprimand, administrative fine, restriction of business operation, business suspension and license revocation, etc. In this regard, the scope of power of the order issuers varies depending on the level of
holding executive position in Accounting or Finance Department whose rank is not lower than departmental manager" already falls within the scope of “the first four executives succeeding the manager and
Important points Who are the directors or executives? What is the scope of their powers? Who are the independent directors / Audit Committee (AC) to act for the interests of individual investors? What is the
handbooks and guidelines Related rules and regulations Related forms Regulatory Summary Duties Scope of works Approval for Financial Advisors and Supervisors Independence of Financial Advisors
ago or such behavior is not severe to the extent that the person should not be entrusted to perform duty as auditor of entities in the capital market, the SEC may disregard such facts as a cause for