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
-third of its maximum capacity to an individual client, or to a group of associated persons, in case that the buyers/end users of product/services are not the government agencies. This is not applied on
-third of its maximum capacity to an individual client, or to a group of associated persons, in case that the buyers/end users of product/services are not the government agencies. This is not applied on
repurchased. 8.3 The mutual fund management company shall accept all purchase or the redemption orders except for the following cases : (1) The Stock Exchange / the over-the-counter centers are unable to open
repurchased. 8.3 The mutual fund management company shall accept all purchase or the redemption orders except for the following cases : (1) The Stock Exchange / the over-the-counter centers are unable to open
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
) 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
Persons Wealth Advice for All A Settlor of an Infrastructure Trust Trustee Digital Asset Business Operators Secondary Market and Related Entities Enforcement Prevention of Unfair
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