as a juristic person or as a group of persons; (3) a copy of financial statement of the latest three years, or, in case of a registered group of persons, profit and loss statements of the latest
Important points Who are the directors or executives? What is the scope of their powers? Who are the independent directors / Audit Committee (AC) to act for the interests of individual investors? What is the
Derivatives Broker Registered Derivatives Broker Securities Dealer Securities Companies and Other Financial Institutions Staff or Agent (individual) Acting as Investor Contact of the Company
directors’ respective roles and responsibilities, linked to their individual and company performance, and provide incentives for the board to lead the company in meeting its objectives, both in the short and
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
level depending on knowledge and virtue to achieve the goal of balance, prosperity and sustainability of individual well-being and the society at large. In other words, by adhering to this
level depending on knowledge and virtue to achieve the goal of balance, prosperity and sustainability of individual well-being and the society at large. In other words, by adhering to this
level depending on knowledge and virtue to achieve the goal of balance, prosperity and sustainability of individual well-being and the society at large. In other words, by adhering to this
level depending on knowledge and virtue to achieve the goal of balance, prosperity and sustainability of individual well-being and the society at large. In other words, by adhering to this
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