in the category of investment advisory service; (3) be able to show that its human resource will be prompt and adequate with a view to responsibility for investment advisory service. Where the

system, record keeping system and system for making reports concerning venture capital management; (4) be able to show that its human resource will be prompt and adequate with a view to responsibility for

 capital management; (4) be able to show that its human resource will be prompt and adequate with a view to responsibility for venture capital management consideration on which shall be based on the company

operational system will be prompt for operating securities business in the category of private fund management; (6) be able to show that its human resource will be prompt and adequate with a view to

that its operational system will be prompt for operating securities business in the category of mutual fund management; (5) be able to show that its human resource will be prompt and adequate with a view

/Pages/LawandRegulations/IndependentAuditOversight.aspx English (United States) AuditorAccountRegulatorySummary Qualifications (1​) having audit quality control system which is in compliance with the

SEC is of the view that limited company or public limited company to be established has qualifications as specified in this Ministerial Regulation, the SEC shall recommend the Minister to approve

attached with supplementary documents as specified by the SEC. Clause 3 In case where the SEC is of the view that limited company or public limited company to be established has qualifications as specified

the category of private fund management; (6) be able to show that its human resource will be prompt and adequate with a view to responsibility for private fund management. Directors, managers and

mutual fund in compliance with the accounting standards prescribed by related regulations on accounting.  The financial reports must be audited and given opinions by the auditors who has been approved by