ago or such behavior is not severe to the extent that the person should not be entrusted to perform duty as auditor of entities in the capital market, the SEC may disregard such facts as a cause for
Investment Consultant/Investment Planner Regulatory Summary Types and Scope of Duties Qualifications Training Courses Training Courses for Migration (for IC and IP approved before 1 Janurary 2018
handbooks and guidelines Related rules and regulations Related forms Regulatory Summary Duties Scope of works Approval for Financial Advisors and Supervisors Independence of Financial Advisors
statements. The scope of power and duties is clearly specified. Directors / executives must not have untrustworthy characteristics pursuant to the specified criteria and have their names on the database
, etc. There are two types of administrative actions taken by the SEC Office, namely: Administrative order issued in accordance with the governing laws when a regulated person fails to maintain
Qualifications Main duties of a Trust Settlor/Trust Manager Qualification s Being an asset management company or a non-asset management company No records of infringements or negligence of material issues
scope of audit is limited by any act or omission to act of issuers' directors or executives. 2. The issuers shall not fail to file the financial statements or related reports to the SEC/ SET. 3. In case
to other operator ( s ). Audit Committees of Securities Companies Securities companies with custody services for clients' assets: an audit committee with a minimum of two members is