prohibits any employing securities firm or issuer from treating its employees unfairly by such means as change of position, type of work or work location. Whistleblowers shall be treated fairly and protected
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
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
Help Center Complaints/Whistleblowers Matters under the SEC Responsibility Complaint Handling Procedure Samples of Documents or Evidence Matters under Supervision of Other Laws
a third party such as an audit firm, a law firm, or any other juristic person? A: Yes. The law does not specify any prohibition on the matter. The appointee can be either an ordinary person or a
a third party such as an audit firm, a law firm, or any other juristic person? A: Yes. The law does not specify any prohibition on the matter. The appointee can be either an ordinary person or a
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
audit firm's leader . Signature of audit firm's leader is required. Form 61-2F Certification and consensus of audit firm in the form as publicized in theSEC's website. Signatures of audit firm's leader
audit firm's leader . Signature of audit firm's leader is required. Form 61-2F Certification and consensus of audit firm in the form as publicized in the SEC's website. Signatures of audit firm's leader