Regulations The notification of the office of the Securities and Exchange Commission No. SorChor. 24/2555 Re: Approval of Appraisal Company and Lead Appraiser Contributing (Asset Evaluation) for Capital
, securities business operator, derivatives business operator, financial advisor, auditor, appraisal company, credit rating agency, representative of bond holders, and personnel in the capital market business
compliance with the ISQM 1. 2.8.2 Checking whether applicant's qualification meet with Fast Track Approval Conditions Foreign auditor to be approved by the SEC under fast track approval system shall hold
compliance with the ISQM 1. 2.8.2 Checking whether applicant's qualification meet with Fast Track Approval Conditions Foreign auditor to be approved by the SEC under fast track approval system shall hold all
mutual fund management company, the designated employee must hold a position which will not cause conflicts of interest concerning the fund management, or hold a position that assumes the highest
mutual fund management company, the designated employee must hold a position which will not cause conflicts of interest concerning the fund management, or hold a position that assumes the highest
Rule Making Process SHARE : Detail Content 1. Assess the importance of matters 2. Study international supervisory measures and standards 3. Conduct regulatory impact assessment: Analyze the
the audit adjustments of listed companies for the year ended 2018 financial statements QAQR Questionnaire The Firm's Risk Assessment Process Governance and Leadership Relevant Ethical Requirements
limitations (the case of holding more than one-third of total outstanding units over one year) Actions to be taken to comply with the “one-third" rule: Any person shall not hold investment units exceeding
limitations (the case of holding more than one-third of total outstanding units over one year) Actions to be taken to comply with the “one-third" rule: Any person shall not hold investment units exceeding