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
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
> Debt Instrument Regulations SHARE : Detail Content Debt Securities Debt securities provide a financing alternative which can reduce cost of funds paid to financial institutions. Issuers may
exceeding the limit approved by the SEC, but not over 15% of the limit (greenshoe) and must be stated in the scheme. (3) The mutual fund management company must provide an evidentiary document of the rights
) Director, executive or controlling person of securities issuing company (2) Employee or worker of a securities issuing company who holds a position, or is in the line of work, is responsible for or capable
person with proportion or characteristics as specified by the SEC; (2) have honest executives as apparent from working records, who are capable and have experiences beneficial to business operation; (3
, who are capable and have experiences beneficial to business operation; (3) have measure to control and manage risks associated with business operation; (4) have effective measure on internal control
finance business under Clause 1 means undertaking of business with core objective to provide credit facility for securities business. Clause 3 This Notification shall come into force on the date