. The answers to each questionnaire should base on actual practices. If the assessment results in deficiencies in any internal control components (whether it is the reason for neither system existence nor

and methods specified in the Licensing Manual for the Public and notify the issues derived from the examination of such facts for the applicant to clarify within the period specified by the SEC Office

examination of the working paper and the audit quality control system and specify the list of working papers to be examined; - On-site inspection, notify and confirm the issues found verbally; - Consider the

[3] years during a period of five [5] years prior to the application date. Unless such person having passed the Level 1 examination of Chartered Financial Analyst (CFA) or Certified Investment and

for a total period not less than three [3] years during a period of five [5] years prior to the application date. Unless such person having passed the Level 1 examination of Chartered Financial Analyst

for a total period not less than three [3] years during a period of five [5] years prior to the application date. Unless such person having passed the Level 1 examination of Chartered Financial Analyst

business operation, financial status and performance , or existence of REIT, or investors’ investment, provided that such risk may cause the investors to lose the invested money or receive a return at a

health examination to comprehensive diagnosis and preventive care. Moreover, the hospital opened the advanced pediatric center that provides child care services from birth to teenage by a specialized

Office shall have the power to prescribe rules, conditions and procedures in detail related to the matters specified in this Notification for clarity in practice and for the SEC Office’s examination of the

related to the matters specified in this Notification for clarity in practice and for the SEC Office’s examination of the compliance therewith. Clause 23 In the case where the SEC Office finds that any