offence or liability under the Securities and Exchange Act The characteristics, examples and the limitation period of the civil cases which may be requested for a Class Action in order to deal with the
offence or liability under the Securities and Exchange Act The characteristics, examples and the limitation period of the civil cases which may be requested for a Class Action in order to deal with the
outstanding units for any person or any Associated Person. The restrictions are exempted in the following cases: 1.1 No limitation of holdings: (1) Tax-exempted institutional investors operating as a
outstanding units for any person or any Associated Person. The restrictions are exempted in the following cases: 1.1 No limitation of holdings: (1) Tax-exempted institutional investors operating as a
) The Subcommittee has a duty to propose policies and workplans for developing organizational governance, as well as frameworks for recruitment of officers, remuneration determination, and evaluate the
frameworks for recruitment of officers, remuneration determination, and evaluate the performance of the Board, the Capital Market Supervisory Board, the SEC office, the subcommittee and the Secretary-General
considered that auditor already performed duties in compliance with Section 89/25. However, in case auditor has discovered suspicious circumstance but the limitation on scope is imposed by client, as a result
considered that auditor already performed duties in compliance with Section 89/25. However, in case auditor has discovered suspicious circumstance but the limitation on scope is imposed by client, as a result
size. Evaluate the sufficiency of the internal control system at least once a year. Qualifications of the Chief Financial Officer (CFO) and accountants Public Offering (PO) Secondary Public
Information (IOSCO MMoU) The SEC became a signatory to the IOSCO MMoU at the IOSCO Annual Conference in 2008. This milestone reflects the SEC’s continued commitment to removing limitation on enforcement