offence or liability under the Securities and Exchange Act The characteristics, examples and the limitation period of the civil cases which may be requested for a Class Action in order to deal with the
offence or liability under the Securities and Exchange Act The characteristics, examples and the limitation period of the civil cases which may be requested for a Class Action in order to deal with the
mutual fund in compliance with the accounting standards prescribed by related regulations on accounting. The financial reports must be audited and given opinions by the auditors who has been approved by
mutual fund in compliance with the accounting standards prescribed by related regulations on accounting. The financial reports must be audited and given opinions by the auditors who has been approved by
. Study international supervisory measures and standards 3. Conduct regulatory impact assessment: Analyze the pros and cons and the costs of compliance 4. Seek approval for the measure from SEC Board
, transfer of securities ownership, pledge and seize, as well as the closing of the book in order to have information on securities holders, deal with rights and benefits arising from securities such as
, transfer of securities ownership, pledge and seize, as well as the closing of the book in order to have information on securities holders, deal with rights and benefits arising from securities such as
to ensure the compliance with the ISAs, and c) inspecting the audit firm's quality control system to ensure compliance with the ISQM 1. 2.8.2 Checking whether applicant's
, 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 with the
audit firm; (5) not possessing any prohibited characteristics as prescribed by the SEC. Audit Firm Qualifications (1) having audit quality control system which is in compliance with the International