trustworthiness in regard of undertaking such securities businesses; "major shareholder" means any person directly or indirectly holds shares of securities company exceeding ten percent of voting shares of such
resembles the international supervisory framework. The audit quality control regulatory shall be performed at both individual auditor level and firm level. In order to enhance quality and reliability of the
. The SEC will make an appointment for an on-site inspection of the work system 3. Filing the original documents: 3.1 Download an application form for approval of wealth advisors from the SEC's website
original scheme; 4.2 The unitholders received the investment capital and the returns upon expiration of the closed-end fund as specified in the original scheme; 4.3 The fund was converted to an open-end
guarantee. (2) Where the arrangement with a new guarantor will cause fees to increase by more than 25% of the original rate for the latest guarantee period, the mutual fund management company can make such an
of directors but not less than three persons. The audit committee consists of at least three persons and at least one person must have adequate knowledge to review the reliability of financial