over five years per period 2.1.2 Qualification of Approved Auditor An auditor to be granted approval by the SEC shall possess qualifications of an individual person and of the firm to
interpretation of the “Executive” in relation to “person holding executive position in Accounting or Finance Department whose rank is not lower than departmental manager” Regarding the Notification of the
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their duties for the best interests of the company. Therefore, A person who has a conflict of interest must not do business which is in competition with the company. There must be no related party
. Summary of regulations 1. Limitations on unitholding over one-third of the total outstanding units for any person or any Associated Person. The restrictions are exempted in the following cases: 2. Rules
). The award may induce the counsel to take part in the case and to facilitate the Class Action litigation for the injured person. I n addition, the plaintiff and the counsel for the plaintiff are the
) checking the basic individual qualifications of the applicant i.e. having extensive audit experience, holding a CPA license, not possessing prohibited characteristics and
) Group 2: Constituting an unfair advantage over investor by exploiting the inside information 2.1 Trade securities by using inside information (Section 242) Offender Person who knows or possesses