securities company to rectify financial condition or result of operation as approved by the SEC (if any); (d) any other factors which adversely affect the securities company’s financial condition or result
operation during three consecutive years prior to the year of filing the application; (c) any step taken by the securities company to rectify financial condition or result of operation as approved by the
) The Department of Business Development, Ministry of Commerce The Revenue Department, Ministry of Finance International Federation of Accountants International Forum of Independent Audit Regulators
requires that the auditor of the entities in the capital market be approved by the SEC so that the SEC will be capable of regular monitoring the quality of audit work performed by such auditor, which
Regulatory Summary of Approved Auditor in Capital Market Related Rules and Regulations Related Forms Quality Assurance & Review Independent Audit Oversight Handbook for approval of foreign auditors
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
affect the confidential information on the salary. Therefore, if EJIP is approved by the SEC, the executives will be exempted from the reporting requirements under section 59. The criteria for approval of
of Good Corporate Governance and Prevention of Frauds Regulatory Summary of Approved Auditor in Capital Market Related Rules and Regulations Related Forms Quality Assurance & Review Independent
exceeding the limit approved by the SEC, but not over 15% of the limit (greenshoe) and must be stated in the scheme. (3) The mutual fund management company must provide an evidentiary document of the rights