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
. Derivatives brokerage 2. Securities dealing 2. Derivatives dealing 3. Investment advisory service 3. Derivatives advisory service 4. Securities underwriting 4. Derivatives fund management 5
trust can sell units to high net-worth investors or general investors (in case of selling to retail investors, listing of the units in the Stock Exchange is required to enhance the liquidity). In case
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provision is to ensure that CFOs and chief accountants will consistently enhance their knowledges and competency. In this connection, the SEC issued a practice guideline in attending the training sessions as
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
enhance audit quality of financial statements of entities under the SEC oversight to ensure confidence on financial reporting disclosed to the public. The SEC requires the auditor in the capital market to
Operators > Asset Management Regulations Regulations SHARE : Detail Content A Gathering of all Asset Management Regulations Regulated Entities ○ Licensing/Registration • Mutual Fund Management
Operators > Asset Management Regulations Regulations SHARE : Detail Content A Gathering of all Asset Management Regulations Regulated Entities ○ Licensing/Registration • Mutual Fund Management
> Private Funds or Provident Funds Regulations SHARE : Detail Content Private Funds or Provident Funds Summary of regulations 1. Execution of Agreements for Management of Private funds or Provident Funds 2