applicant has registered with about the qualifications of the applicant, review audit works of the applicant whether it is in compliance with the ISAs, inspect audit quality management system of the audit
applicant, review audit works of the applicant whether it is in compliance with the ISAs, inspect audit quality management system of the audit firm that the applicant is attached with whether such system is
ownership of the business. Positive gains of the company will also benefit the shareholders. However, the capital increase may cause a dilution effect on shareholders. Therefore, supervision of the program
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
: (1) Notify the unitholder registrar to acknowledge the limitations on unitholding and monitor the unitholder registrar to reject a transfer of investment units that will violate the rule. (2) Examine
the performance of duties of the underwriter The underwriter must examine and co-sign the report of shares allocation to sponsors (form 81-1-IPO 200) to certify that “the company has a monitoring
financial sector, jointly developed by the International Monetary Fund (IMF) and the World Bank. The program aims to examine the stability and soundness of the financial sector, as well as its potential
values using a fair price. The value per investment unit shall be rounded up to a minimum of 10 decimal digits according to international standards. (2.3) Increase or reduce the number of investment units