structure Important points Who are the majority shareholders that can control the votes? Is there a check and balance among the majority shareholders? Are there other securities that may cause dilution effect
training by IOD). The structure has check and balance system: Independent directors and the audit committee are independent pursuant to the rules. Independent directors are ≥ one-third of the total number
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
specified period. The associations shall prepare a balance sheet once in every twelve-month period, and an annual report on results of the operation to be presented to the general meeting of the associations
adverse opinion on the financial statements; A qualified opinion on any significant transaction that incompliance with accounting standards; An opinion that the auditing scope is limited by the company or
reprimand, administrative fine, restriction of business operation, business suspension and license revocation, etc. In this regard, the scope of power of the order issuers varies depending on the level of
holding executive position in Accounting or Finance Department whose rank is not lower than departmental manager" already falls within the scope of “the first four executives succeeding the manager and
> Equity Instrument Regulations SHARE : Detail Content Equity Instruments Regulations on equity instruments are aimed at creating a balance between the protection of investors and effective fund mobilization
handbooks and guidelines Related rules and regulations Related forms Regulatory Summary Duties Scope of works Approval for Financial Advisors and Supervisors Independence of Financial Advisors