at least three persons and at least one person must have adequate knowledge to review the reliability of financial statements. The scope of power and duties is clearly specified. Directors
Investment Consultant/Investment Planner Regulatory Summary Types and Scope of Duties Qualifications Training Courses Training Courses for Migration (for IC and IP approved before 1 Janurary 2018
Investment Consultant/Investment Planner Regulatory Summary Types and Scope of Duties Qualifications Training Courses Training Courses for Migration (for IC and IP approved before 1 Janurary 2018
intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition (Section 244/3(2)) Acts presumed to have caused the securities price to be
intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition (Section 244/3(2)) Acts presumed to have caused the securities price to be
incompliance with accounting standards; An opinion that the auditing scope is limited by the company or the company's executives; 3.1.2 Preparation and submission of financial statements for a listed
and license revocation, etc. In this regard, the scope of power of the order issuers varies depending on the level of penalty to be imposed on the offender. Appeal Any person who is affected by, and
of the mutual fund is inconsistent with the approved scheme. In this connection, the SEC has the power to order: (1) Clarification or disclosure of additional information; (2) Rec tification of the
of the mutual fund is inconsistent with the approved scheme. In this connection, the SEC has the power to order: (1) Clarification or disclosure of additional information; (2) Rec tification of the
Scope of works Approval for Financial Advisors and Supervisors Independence of Financial Advisors Duties Performing the duties with accountability, using knowledge, competency, experience