investment decision of the public, appraisal requires a knowledgeable, capable and responsible person to perform. The SEC have stipulated the undertaking of the asset appraisal by an appraisal company whose
Before the initial public offering (IPO) (1) The mutual fund obtaining a normal approval for fund establishment may amend the scheme; (2) The mutual fund obtaining an auto-approval are not allowed
Before the initial public offering (IPO) (1) The mutual fund obtaining a normal approval for fund establishment may amend the scheme; (2) The mutual fund obtaining an auto-approval are not allowed
human resources management and development programmes to ensure that the company has adequate staffing and appropriately knowledgeable, skilled, and experienced employees and staff. Principle 1 | 2
also a team of knowledgeable and competent engagement partner and audit staff working together under a reliable audit quality control system of the audit firm. As such, the auditing must be carried out
toward the date of obtaining the license, not have criminal records indicating commission of offense under the law controlling business operation of such person or any other law relating to financial
reports for clients' review 4. Equipped with an electronics platform in rendering services. An arrangement of knowledgeable and competent staffs is required for taking part in determining processes and
reports for clients' review 4. Equipped with an electronics platform in rendering services. An arrangement of knowledgeable and competent staffs is required for taking part in determining processes and
. Such application shall be filed with the SEC via the SEC Office within one hundred and twenty days from the date obtaining the Minister’s approval in form and together with supplementary documents
Associated Person hold investment units over one-third of the units outstanding, directly or indirectly, possibly from causes such as increasing investments, obtaining a waiver as an eligible case specified