reporting and audit oversight 2. Auditor Supervision The SEC has put its continuing effort on auditor supervision as the auditor's role of independent professional is fundamental to investor
Consent of Audit Firm) .pdf file | .doc file 3. Form 61-3 (Notification for Change of Audit Firm) .pdf file | .doc file 4. Background and Details of Applicant Requesting Approval .pdf file
latest three years, or, in case of a registered group of persons, profit and loss statements of the latest three years; (4 ) a profi l e and relevant details of the audit firm; (5 ) a certification and
audit quality control system of the audit firm. As such, the auditing must be carried out under the good quality control system both at firm level and engagement level. In response to the aforesaid, the
audit firm's leader . Signature of audit firm's leader is required. Form 61-2F Certification and consensus of audit firm in the form as publicized in theSEC's website. Signatures of audit firm's leader
audit firm's leader . Signature of audit firm's leader is required. Form 61-2F Certification and consensus of audit firm in the form as publicized in the SEC's website. Signatures of audit firm's leader
. 8/2557 Re: Rules on Personnel in the Capital Market Business Qualifications of Applicants for Approval of Capital Market Investment Analyst on Fundamental Factors Qualifications of Applicants for
. 8/2557 Re: Rules on Personnel in the Capital Market Business Qualifications of Applicants for Approval of Capital Market Investment Analyst on Fundamental Factors Qualifications of Applicants for
Qualifications Capital Market Investment Analyst on Fundamental Factors download PDF Securities Investment Analyst on Fundamental Factors download PDF Derivatives Investment Analyst on Fundamental
Persons for Securitization of 1997 , and the Emergency Decree on Digital Asset Businesses of 2018 . To determine a violation and take an action on any individual or firm, the SEC would investigate and