name appears in the SEC Office's approved listed. Regulatory summary Related rules and regulations Related forms Regulatory Summary Duties and scope of work of appraisers In order to value the asset
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
offender agrees to enter the fining process and pays for the fine in full as ordered by the Committee. The right to pursue a criminal case is terminated. Offences that could be settled by a criminal fine
statements. The scope of power and duties is clearly specified. Directors / executives must not have untrustworthy characteristics pursuant to the specified criteria and have their names on the database
adverse opinion on the financial statements; A qualified opinion on any significant transaction that incompliance with accounting standards; An opinion that the auditing scope is limited by the company or
past year, there is no record of being ordered to amend its financial statements or to explain or being temporarily banned from trading its listed securities under the Trading Suspension sign (SP), etc
reprimand, administrative fine, restriction of business operation, business suspension and license revocation, etc. In this regard, the scope of power of the order issuers varies depending on the level of
holding executive position in Accounting or Finance Department whose rank is not lower than departmental manager" already falls within the scope of “the first four executives succeeding the manager and
Important points Who are the directors or executives? What is the scope of their powers? Who are the independent directors / Audit Committee (AC) to act for the interests of individual investors? What is the