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

This proposed amendment to the regulations on qualifications of capital market auditors aims to facilitate capable auditors’ entry into the capital market to perform audit work and to streamline

auditor appointed by an audit firm is unable to perform audit work for a listed company and the audit firm has an insufficient number of auditors in the capital market to handle the situation, the listed

The Exclusion of Investment Management for Private Equity Firm from Securities Business in the Category of Private Fund Management

Work System Related to Business Undertaking of Mutual Fund Management

upon the SEC Office’s request. I allow and will facilitate the SEC Office’s inspection of audit quality of my own work and audit quality control system of the audit firm, both before and throughout the

their audit work as a signing partner; and (4) allow capital market auditors who are unable to maintain their qualifications as a leader or a partner of an audit firm or an equivalent position to

include rule revisions to require SEC approved auditors work for audit firms having audit quality control system and inspections to ensure the quality assurance of audit firms? procedures both firm and

_______ Country _______ Expiry date _______ Home Address _______ City State Postcode Country E-mail address Telephone number Fax number Mobile phone number 2. Principal place of practice Firm Name Position

Notification: (1) “audit firm” means an audit firm where an auditor is attached to and conducts audit work for; (2) “financial institution” means: (a) a commercial bank, finance company or credit foncier company