includes inspection of audit firms’ quality control systems, which has been running since 2010. According to the Activities Report 2021, audit firms in the capital market have continued to improve their
six months to improve and develop necessary work systems in compliance with the governing regulations. ________________________
During January – March this year, the SEC conducted a public hearing on proposed amendments to the PVD Act to support the development of fund structure, enhance the member protection mechanism
executives’ compensation policy, method of determining the compensation packages, and structures of each compensation type;- To improve disclosure of the use of proceeds in filing documents to be more
Complex Type 2 Investment Consultant
Plain Investment Consultant
Investment Planner