Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
the existing rule-based approach, in which regulations imposed on market practitioners are quite detailed and prescriptive, the SEC is moving towards a principle-based approach, in which only regulatory
existing rule-based approach, in which regulations imposed on market practitioners are quite detailed and prescriptive, the SEC is moving towards a principle-based approach, in which regulatory intention and
Detailed Rules on Maintenance of Capital of Mutual Fund Management Companies, Private Fund Management Companies, Securities Brokers and Dealers and Underwriters limited to Investment Units and
Approval of Auditors ; 5. I entirely understand the code of ethics for professional accountants and will perform audit work in compliance with the code; 6. I entirely understand the generally accepted
the Notification of the SEC Office regarding Approval of Auditors; 5. I entirely understand the code of ethics for professional accountants and will perform audit work in compliance with the code; 6. I
of Foreign Auditors in the Capital Market. 5. I entirely understand of the code of ethics for professional accountants and I will perform audit works complying with the code. 6. I entirely understand
establishes regulations on the supervision of derivatives clearing houses as follows: (1) good governance and organizational structuring, as detailed in Chapter 2; (2) regulations on business operation, as
contract with the derivatives dealer. Clause 13 8 A derivatives dealer shall provide the procedure to ensure that the clients acknowledge and understand the information and risks relating to derivatives