name appears in the SEC Office's approved listed. Regulatory summary Related rules and regulations Related forms Regulatory Summary Duties and scope of work of appraisers In order to value the asset
securities company shall allow any person to have control over its administration or management except for exercise of shareholder’s right in shareholder meeting or management under agreement approved by the
supervisor, who was approved by the SEC, co-sign to certify completeness of information provided in the applications, filings, reports and all document submitted to the SEC. Scope of works 1. Issuance and
supervisor, who was approved by the SEC, co-sign to certify completeness of information provided in the applications, filings, reports and all document submitted to the SEC. Scope of works 1. Issuance and
requires that the auditor of the entities in the capital market be approved by the SEC so that the SEC will be capable of regular monitoring the quality of audit work performed by such auditor, which
Regulatory Summary of Approved Auditor in Capital Market Related Rules and Regulations Related Forms Quality Assurance & Review Independent Audit Oversight Handbook for approval of foreign auditors
resolution shall not have been passed more than one year. Public advertisement is prohibited. Promotion materials can only be distributed only in the PP cycle. Must not co-sign the filing to allow PP
matters under its supervision in accordance with the governing laws . Conducts liable to the supervision include duty performance of market participants such as securities issuers,approved securities
Investment Consultant/Investment Planner Regulatory Summary Types and Scope of Duties Qualifications Training Courses Training Courses for Migration (for IC and IP approved before 1 Janurary 2018
Investment Consultant/Investment Planner Regulatory Summary Types and Scope of Duties Qualifications Training Courses Training Courses for Migration (for IC and IP approved before 1 Janurary 2018