) Director, executive or controlling person of securities issuing company (2) Employee or worker of a securities issuing company who holds a position, or is in the line of work, is responsible for or capable
investment decision of the public, appraisal requires a knowledgeable, capable and responsible person to perform. The SEC have stipulated the undertaking of the asset appraisal by an appraisal company whose
nature and in competition with the company and the subsidiary, or holding more than one percent of the voting shares, or being a managing director, employee, staff, advisor with a regular monthly salary
> Management of Mutual Fund > Fund managers Regulations SHARE : Detail Content Management of Mutual Fund 2. Fund managers 2.1 In managing a mutual fund, the mutual fund management company will appoint a
) assumes crucial roles starting from establishing a trust, to filing an application with the SEC for approval of an offer for sale of units of the trust, and to managing the trust. Regulatory Summary
sponsors T he Chief Executive Officer or the Managing Director (CEO or MD) must make a list of sponsors pursuant to the decision of the board of directors, with the characteristics of each sponsor. The
, Executives, Auditors, Plan Preparers and Plan Administrators (Form 59) Information, Certification and Consent of the Company's Director and Executive (Form 35-E1) Letter of Consent to Disclose Information
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