Agency Capital Market Leader Program, Capital Market Academy High Level Budget management Program, Budget Bureau Director Certification Program, Institute of Directors Association (IOD) Senior Executive
○ Licensing ○ Revocation of License ○ Business Office ○ Paid up Capital of asset management company • Private Fund Management ○ Licensing ○ Business Office Rules and Regulation
○ Licensing ○ Revocation of License ○ Business Office ○ Paid up Capital of asset management company • Private Fund Management ○ Licensing ○ Business Office Rules and Regulation
Governance As an agency with missions for promoting, developing and supervising the capital market, the SEC strives to ensure transparency and credibility of our own operation as well as fairness to all
Office. 5. No record of breaches of regulations and laws (i.e. being currently subject to a criminal complaint or legal prosecution for an offense concerning property by a relevant agency, only for a cause
, 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
the country wherein the issuer is established is unable to provide an assistance to the SEC Office. 7. No record of breaches of regulations and laws (i.e. being currently subject to a criminal complaint
complaint or legal prosecution for an offense concerning property by a relevant agency, only for a cause arising from a deceitful, fraudulent or dishonest act, or having an application for an offer for sale
complaint or legal prosecution for an offense concerning property by a relevant agency, only for a cause arising from a deceitful, fraudulent or dishonest act, or having an application for an offer for sale
. No record of breaches of regulations and laws (i.e. being currently subject to a criminal complaint or legal prosecution for an offense concerning property by a relevant agency, only for a cause