audit quality control system in accordance with the prescribed standard. The rules and regulations on approval shall particularly address audit quality control at both firm and individual engagement level
be granted approval by the SEC shall possess qualifications of an individual person and of the firm to which the auditor is attached as prescribed by the regulations summarized below: Individual
independent directors / Audit Committee (AC) to act for the interests of individual investors? What is the corporate governance and internal control system? Disclosed information Board of directors and
Fast Track qualifications will be inspected by the SEC prior to approval. The inspection may include, but not limited to a) checking the basic individual qualifications of the applicant i.e. having
individual qualifications of the applicant i.e. having extensive audit experience, holding a CPA license, not possessing prohibited characteristics and rohibited behaviors
and from overseas ; (4.3) An event that prevents the mutual fund from receiving payments from the invested securities on a regular schedule. Such incidents are beyond the control of the mutual fund
and from overseas ; (4.3) An event that prevents the mutual fund from receiving payments from the invested securities on a regular schedule. Such incidents are beyond the control of the mutual fund
audit quality control system of the audit firm. As such, the auditing must be carried out under the good quality control system both at firm level and engagement level. In response to the aforesaid, the
Persons for Securitization of 1997 , and the Emergency Decree on Digital Asset Businesses of 2018 . To determine a violation and take an action on any individual or firm, the SEC would investigate and
Intermediaries Reporting Requirement Weekly Reports Weekly Report on the Purchase of High Turnover Securities by Individual Clients (SEC Circular SEC. Thor. 1/2547) To be filed within seven days of the