an affiliated company, but a member of the Audit Committee is prohibited from being a director of a parent company, subsidiary or subsidiary at the same level (sister company) which are listed
+ B = C A merger of mutual fund A + B = A or B Conditions (1) Only mutual fund under the same mutual fund management company are allowed for an amalgamation/merger. (2) The mutual fund management
+ B = C A merger of mutual fund A + B = A or B Conditions (1) Only mutual fund under the same mutual fund management company are allowed for an amalgamation/merger. (2) The mutual fund management
required to observe the following : 1 . NC or NCR ≤ 1 . 5 times of minimum requirement ( early warning level ) that is 1 . 1 For the case of securities company operating only securities or
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
. Regulations on issuing equity instruments are aimed at protecting the following group of investors: New investors purchasing securities – the company is required to have appropriate qualifications and disclose
, securities business operator, derivatives business operator, financial advisor, auditor, appraisal company, credit rating agency, representative of bond holders, and personnel in the capital market business
holding executive position in Accounting or Finance Department whose rank is not lower than departmental manager", the company shall consider from the responsibilities and duties prescribed in the
from 1 January 2018 onward) - In case of using the examination results of CISA Level 1 or higher , CFA Level 1 or higher, FRM or CFP
from 1 January 2018 onward) - In case of using the examination results of CISA Level 1 or higher , CFA Level 1 or higher, FRM or CFP