appoint competent officers to perform duties in accordance with this Act. Such ministerial regulations shall come into force upon publication in the Government Gazette.
testimony to competent officer - - 1 1 - - - - Failure to comply with the competent officer's order - - - - - - 1 2 Failure to uphold professional standards - - - - - - - - Grand Total 43 80 29 137 111 218 32
the firm’s audit manual and audit procedures, the lack of understanding in requirement of relevant standards, the lack of competent and skillful personnel, and the inappropriateness of internal
establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent
instruction by the official agency or the competent authority under law, in the country or in a foreign country, to improve the work system relating to accepting deposits of the assets of the customers or any
a secured log-on procedure; (c) establish password management systems to ensure security of passwords; (d) tightly restrict and control the use of utility programs and limit access to program source
conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties in
maintain substantial and adequate financial resources continuously; (5) market conduct An intermediary shall undertake business in keeping with proper standards of market conduct; (6) competent staff
violation The SEC Office issues an administrative order to enforce any regulated person. The SEC Office presents the case to the competent authority. End Administrative Order Issuance Administrative Sanction
securities and exchange. “competent officer” means a person appointed by the Minister to act in accordance with this Emergency Decree. “Minister” means the Minister in charge of the execution of this Emergency