Derivatives Broker Registered Derivatives Broker Securities Dealer Securities Companies and Other Financial Institutions Staff or Agent (individual) Acting as Investor Contact of the Company
) checking the basic individual qualifications of the applicant i.e. having extensive audit experience, holding a CPA license, not possessing prohibited characteristics and
) checking the basic individual qualifications of the applicant i.e. having extensive audit experience, holding a CPA license, not possessing prohibited characteristics and
directors’ respective roles and responsibilities, linked to their individual and company performance, and provide incentives for the board to lead the company in meeting its objectives, both in the short and
resembles the international supervisory framework. The audit quality control regulatory shall be performed at both individual auditor level and firm level. In order to enhance quality and reliability of the
determine a violation and take an action on any individual or firm, the SEC would investigate and gather information, facts and evidence concerning the violation. Generally, an alleged offender may clarify or
Individual Clients (SEC Circular SEC. Thor. 1/2547) To be filed within seven days of the following week. Monthly Reports Unaudited Monthly Financial Statement (Form Bor.Lor. 2 & Bor.Lor. 2/1
(example of such issues include operational issues such as a change of a mutual fund management company, or a fund supervisor); (B) A matter that affects unitholders in all classes with different degree
(example of such issues include operational issues such as a change of a mutual fund management company, or a fund supervisor); (B) A matter that affects unitholders in all classes with different degree
over five years per period 2.1.2 Qualification of Approved Auditor An auditor to be granted approval by the SEC shall possess qualifications of an individual person and of the firm to