Minister in charge of the enforcement of this Act. SECTION 4/1.( The SEC shall have the power to determine the undertaking of business in any manner is not a securities business under this Act. SECTION 5.4
securities company has prescribed securities company to have efficient internal control system, adequate securities system that is adequate for preventing unauthorized person to know or amend information
Audit Firm Name: Subject : ENGAGEMENT PERFORMANCE Prepared by Date ENGAGEMENT PERFORMANCE : Policies and procedures should be established to provide the firm with reasonable assurance that the work
Exchange Commission. Clause 3. An applicant seeking an approval to act as a mutual fund manager shall have the following qualifications; (1) Being a permanent staff member who is able to work full-time for a
notified promptly for all identified deficiencies in the quality control system. C Complaints and Allegations 1 Does the firm have policies and procedures designed to provide it with reasonable assurance
Securities and Exchange Commission hereby issues the following regulations: Clause 1. The management company shall, in undertaking of fund management business, arrange to have an operating system which is
) investment advisory company shall not undertake any improper act which may cause damage to the user of information, mutual fund, asset management company, or confidence in securities business or capital market
” means a contract whereby a person, called a settlor, transfers or creates real right or any right appertaining to property to or for another person, called a trustee, with trust and confidence in order
assurance that its understanding is in agreement with the client’s understanding of the work to be performed. B Resignation from Audits: 1 Does the firm have policies/procedures on withdrawing from the
Exchange Commission have suggested investment in the offered units of the CIS; nor contain any assurance in relation to the value or returns on the offered units of the CIS; nor shall certify the accuracy