’ proceeding to solve a problem. (4) proceed with the complaint in Clause 3 and Clause 4; (5) store evidentiary documentation involving the complaint and proceeding for no less than two years from the date of
investments account and reviewing evidentiary documentation attached to the application before delivering them to the management company for considering an approval; (2) disclosure of information or documents
to rectify the application or additionally deliver evidentiary documentation as specified by the SEC Office. Yours Sincerely, Signature........................................................... Name
case of oversea branch office, the intermediary shall submit an application for obtaining an approval, by using the form as provided on the SEC Office’s website, together with evidentiary documentation
Office’s website, together with evidentiary documentation to the SEC Office. Clause 9 For the deliberation of the application for obtaining an approval of establishing oversea branch office as prescribed in
, any transaction between each investment policy shall be deemed a transaction with a connected person as well. Division 1 Preparation for Evidentiary Documentation of Transactions ______________ Clause 9
connected person as well. Division 1 Preparation for Evidentiary Documentation of Transactions ______________ Clause 9 In the case where an intermediary enters into a transaction for a client with the
documentation: (1) letter of certification and consent of the audit firm to which the applicant is attached, which certifies and gives consent in the following matters as per Form 61-2, which is available on the