person who has authorized the management of the private fund using knowledge and competence as a professional. SEC Act S.134 paragraph 2 and paragraph 3 in conjunction with 133 paragraph 1 Criminal
characteristics as follows: (1) having deficiency in legal competence or having been subject to any legal proceeding under the law governing capital market or having untrustworthy characteristics as specified by
Office to suspend functioning as lead appraiser or being under the period of time that the SEC Office could refuse to accept the application; (7) having passed the test of competence or taken professional
management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the
copies of applications and all supporting documents shall be submitted to the Document Center on the Ground floor of the SEC Office and shall be address to: Secretary – General The Office of the Securities
investors and there is a reasonable ground not to disclose details of such information in the registration statement, or any other measure has already been implemented sufficiently in lieu of such disclosure
. VTE later submitted to the SEC the letter requesting extension of period for submitting such financial statements. The request was made on the ground that the independent financial advisor is in process
Director, Deputy Chief Executive Officer - General Administration and Company Secretary, (3) {C}, and (4) {D}. The complaint was imposed on the ground of their collaboration in committing malpractice that
firm – a. Undertakes only those engagements that the firm can reasonably expect to be completed with professional competence b. Appropriately considers the risks associated with providing professional