client’s asset, which is independent from the securities trading unit or securities advisory unit, and must organize a good internal control system for the custody of client’s assets. Such system must at
information among work units and personnel; and internal control measures to audit and counterbalance the operation and to prevent any transactions which may give rise to a conflict of interest, including
access to inside information among work units and personnel; and internal control measures to audit and counterbalance the operation and to prevent any transactions which may give rise to a conflict of
and personnel; and internal control measures to audit and counterbalance the operation and to prevent any transactions which may give rise to a conflict of interest, including keeping documents and
further. Clause 9 The SEC Office will notify the result of the deliberation of the application within 45 days from the date which the SEC Office received the application and a complete set of evidentiary
knowledge and skills, such as an internal or external auditor, and submit to the SEC Office once a year a report on said review, monitoring, and examination, together with an examination plan specifically
agencies or related regulatory agencies as well as complete any a However, the Company would enter into the above transactions only upon approval of the shareholders meeting and the matter in Clause 2 to 3
personnel. I hereby certify that the above statements and the supplementary documentation attached herewith are complete, accurate and true. Sincerely, Signature