resembles the international supervisory framework. The audit quality control regulatory shall be performed at both individual auditor level and firm level. In order to enhance quality and reliability of the
enhance audit quality of financial statements of entities under the SEC oversight to ensure confidence on financial reporting disclosed to the public. The SEC requires the auditor in the capital market to
: Determination of Paid-Up Registered Capital of Licensed Operators to Undertake Derivatives Business A Gathering of all Intermediaries Regulations Regulated Entities о Rules and Regulations / Licensing
insurance company licensed under law on commercial banking or law on life insurance, as the case may be, such applicant shall- (1) be able to maintain capital funds and set aside reserve capital in accordance
making an investment decision, or misled investors in a manner of concealing or disguise or making up non-existing facts. 6. Being licensed or registered as the derivative dealers pursuant to the
information to the investors, representing the financial position and operating performance of the entities in the capital market, and is one of the most crucial factors to enhance investor confidence in the
resembles the international supervisory framework. The audit quality control regulatory shall be performed at both individual auditor level and firm level. In order to enhance quality and reliability of the
of private fund management is a legal entity under Clause 2(1) to (5), but not a branch of foreign commercial bank or a foreign life insurance company licensed under law on commercial banking or law on
administrative orders on individuals or juristic persons under the SEC's supervision, in other words, persons licensed, approved, or registered in accordance with the laws administered by the SEC. For example
stakeholders. In addition, licensed derivatives exchanges must comply with the regulations of the SEC, such as complying with the rules on business operations and receives approval of its rules and the form and