guarantor, the qualification of the new guarantor and terms of guarantee agreement shall not be inferior to the previous one, except in any of the following cases: (1.1) The mutual fund management company
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
) Establishment of fund with special features (4.1) Guaranteed fund A guarantee fund arranges for a third party's guarantee to ensure that the investors will receive the guaranteed amount of capital and returns
statements. The scope of power and duties is clearly specified. Directors / executives must not have untrustworthy characteristics pursuant to the specified criteria and have their names on the database
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