) checking the basic individual qualifications of the applicant i.e. having extensive audit experience, holding a CPA license, not possessing prohibited characteristics and
Audit Firm) .pdf file | .doc file 4. Background and Details of Applicant Requesting Approval .pdf file | .doc file 5. Audit Firm Profile and Details .pdf file | .doc file
/2560 Re: Specification of Paid-up Registered Capital of Securities Business License Applicant and Licensee The Notification of the Securities and Exchange Commission No. KorThor. 26/2560 Re
Regulation. Clause 2 Applicant for securities business license in the category of investment advisory service which is a legal entity under Clause 1(1) to (5) shall- (1) be able to maintain capital funds and
Where an applicant for securities business license in the category of private fund management is a legal entity under Clause 2(1) to (5), but not a branch of foreign commercial bank or a foreign life
the applicant possesses prohibited characteristics as prescribed; Not appearing that its directors, manager and person holding executive position as a division manager or an equal position responsible
held by any legal entity under Sub-clause (1) to (5) in aggregate amount of not less than fifty percent of total shares sold. Clause 3 Where an applicant for securities business license in the category
Handbookforapprovalofforeignauditors , b) inspecting audit works performed by the applicant to ensure the compliance with the ISAs, and c) inspecting the audit firm's quality control system to ensure compliance
. Within two years prior to the filing of the application for an approval, the applicant has never breached any provisions on the use of proceeds of the bonds - Applicable to the offering of bonds only