, especially the widely used appraisal. Clause 4 In order to obtain an approval to be an appraisal company in capital market and a lead appraiser, any appraisal company having such wish shall submit an

Translation) Page 2 of 4 and abilities suitable to act in the capacity so appointed. The person shall have no record of misconduct and behaviour which may affect to image of the company; (3) prepare the

person with knowledge (Unofficial Translation) Page 2 of 4 and abilities suitable to act in the capacity so appointed. The person shall have no record of misconduct and behaviour which may affect to image

review is adequate, and the audit has quality. If the engagement teams fail to obtain sufficient appropriate audit evidence, the partners and the managers should be able to identify the issues before

representative office in the Kingdom shall obtain an approval from the Office. The representative under the first paragraph shall undertake only those businesses specified in the approval. The provisions of

University INTRODUCTION • What is the effect of regulatory jurisdiction on the behavior of financial actors? Specifically, investment adviser misconduct? • Setting: Dodd-Fank re-jurisdicts “mid-size” RIAs in

profession standards. Furthermore, the SEC representatives attended conferences to share ideas and experiences with the stakeholders and participated in domestic and international symposiums. obtain certain

obtain ACMF Pass and carry out investment advice which are permitted activities under the MOU in Host Jurisdiction. This handbook set out the guidance on ACMF Pass by: 1.2.1 Explaining the scope of

performing their duties in any of the following functional fields shall have the qualifications, possess no prohibited characteristics, or obtain an approval [from the SEC Office], as the case may be, as

2.1.3 inappropriate/insufficient disclosure of information (paragraph........). ฆ 2.2 Inability to obtain sufficient appropriate audit evidence and the possible effects are material, but not pervasive