firm to be prohibited from business expansion. In addition, in case where an increase of investment by any person or a group of persons causes the one-third limit to be exceeded, the asset management
firm 7) Annual Financial Statements or the Profit and Lost Statements for the last three years in case of audit firm established as juristic person. Original: 0 copy Photocopy: 1 copy Remarks: (1) Sign
without subject to regulations of this Notification. Clause 6 In this Notification: (1) “audit firm” means an audit firm where an auditor is attached and conduct audit work for; (2) “financial institution
: ………………………………………....................... (3) Current position in the affiliated audit firm ( Partnership ( Other position (please specify):………………… (4) Signature affixed in the audit report of the audit firm's clients since ....(YEAR)…… (5
: ………………………………………....................... (3) Current position in the affiliated audit firm Partnership Other position (please specify):………………… (4) Signature affixed in the audit report of the audit firm's clients since ....(YEAR)…… (5
Statements for the last three years in case of audit firm established as juristic person. Original: 0 copy - (Unofficial Translation) 5 Step Type / Number and Additional Details (if any) Issued by Governmental
) Annual Financial Statements or the Profit and Lost Statements for the last three years in case of audit firm established as juristic person. Original: 0 copy Photocopy: 1 copy Remarks: Sign to certify on
The Exclusion of Investment Management for Private Equity Firm from Securities Business in the Category of Private Fund Management
in the firm Address City State Postcode Country E-mail address Telephone number Fax number Does your firm belong to an international network ? Yes No If yes, please state the – Name of the network
) SANCTIONS.—If the Board finds, based on all of the facts and circumstances, that a registered public accounting firm or associated person thereof has engaged in any act or practice, or omitted to act, in