Exchange Commission Re: Determination of Other Regulations of Associations related to Securities Business ____________________ By virtue of Section 14 and Section 234(7) of the Securities and Exchange Act
application fee under the Notification of the Office of the Securities and Exchange Commission concerning determination of fees for filing, registration and other applications. The Office shall disclose the
Office of the Securities and Exchange Commission concerning determination of fees for filing, registration and other applications. The Office shall notify the result of the application within thirty days
. In this regards, guidelines for reviewing the mission, strategy, policy and operational plan in appropriate period or under circumstances shall be established. The determination of such mission
relevant rules and regulations and professional ethics and standards, which is administered by an association or a training institute, for a period of time not exceeding two years on the date of submission
Notification of the Office of the Securities and Exchange Commission concerning determination of fees for filing, registration and other applications. The Office shall disclose the result of the application in
. Such power and duty shall include: (1) the issuance of rules, regulations, notifications, orders, directives or stipulations under this Act; (2) the determination of application fees, license fees
accountability in accordance with the professional code of ethics, auditing standards, and other additional regulations prescribed by the law governing securities and exchange. Yours sincerely, Signature
the notification of the Office of the Securities and Exchange Commission concerning determination of fees for filing information, registration and other applications. The Office shall disclose the
the standard and code of ethics by promoting compliance culture to strengthen confidence of client and the industry. Guidelines 1. The management should arrange to have strategic plan, policy and