Consent of Audit Firm) .pdf file | .doc file 3. Form 61-3 (Notification for Change of Audit Firm) .pdf file | .doc file 4. Background and Details of Applicant Requesting Approval .pdf file
other necessary actions as requested by the SEC, notifying the change of the audit firm as pe r Form 61-3F provided on the website of the SEC within 30 days as from the last day of serving the
as requested by the SEC, notifying the change of the audit firm as per Form 61-3F provided on the website of the SEC within 30 days as from the last day of serving the previous audit firm. 6
latest three years, or, in case of a registered group of persons, profit and loss statements of the latest three years; (4 ) a profi l e and relevant details of the audit firm; (5 ) a certification and
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
at both individual auditor level and firm level. In order to enhance quality and reliability of the financial disclosure system of the entities and auditors, the SEC has revised the rules on approval
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
case where there is a material change to the information specified in the effective registration statement and such change has been notified and approved by Home Regulator, the CIS Operator is required
effective date of the previously submitted registration statement, either Form 69 – CIS full or Form 69 – CIS annually update , as the case may be. In the case where there is a material change to the
case where there is a material change to the information specified in the effective registration statement and such change has been notified and approved by Home Regulator, the CIS Operator is required