number 3. Experience in capital markets Are you currently allowed by law to audit the financial statements of the public interest entities whose shares are traded in the main board of the foreign stock
, securities business, the Securities Exchange, over-the-counter centres, and related businesses, organizations related to securities business, issue or offer of securities for sale to the public, acquisition of
The SEC and the SEC Office shall issue a notification to the general public stipulating the period for consideration and making of order with respect to the issuance of license and granting of approval
copy is required. (7) Photocopy of an evidence of certified public accountant. Signature of the applicant to certify true copy is required. (8) Photocopy of an evidence of registration as an auditor with
. “derivatives broker” means any person who, in the ordinary course of business, engages or holds himself out to the general public as being ready to engage as an agent in the business of trading in derivatives
oversight authority Are you currently a registered auditor in your home jurisdiction with an audit oversight authority? Yes No If yes, please state the – Name of the authority Your Registration number Contact
of clients ; (2) operating in a manner that does not cause any obstacle to compliance with the governing laws or related regulations of the authority or affect the supervisory efficiency of the
director” means any person who is responsible for the operation of a department within the company; “Company” means any limited company or public limited company and shall include any juristic person
units; (10) any other instruments as specified by the SEC. "bill" means any bill issued for raising funds from the public as specified in the notification of the SEC. "debenture" means any debt instrument
grant of approval for the establishment and management of the mutual fund under paragraph one hereof, the Office, upon the approval from the SEC, shall have the authority to set out rules, conditions and