conversation indicated that {A} and {B} specified securities, amount and price for their clients and the clients accepted their trading decisions without objection or asking for any information of those
authorized director are required every page. (11) Photocopy of financial statements of audit firm for the 3 recent years before filing the application. Signature of the audit firm’s leader and authorized
): ................................................................. (...............................................................) Authorized Person Binding the Audit Firm: ............................... Remark Audit firm’s leader and audit firm’s authorized person to affix binding signature shall affix signature together with audit
trading orders from the client. {A} admitted that she accepted trading orders via her mobile. The SEC found that {A} intended to avoid complying with conducts of securities company in relation to record
I, Mr./Mrs./Miss ………………………. ……(applicant’s name), certified public accountant number ………………... working with ……………………………….(name of audit firm’s) an audit firm incorporated in …………………………………...…….. (name
and found that {A} had been authorized by his clients to make securities trading decisions on the client's behalf. He submitted trading orders with high trading volume for a certain period of time. {A
found that {A} had been authorized by his client to make securities trading decisions on the client's behalf with high trading volume. The communication record showed that {A} traded the securities and
The Exclusion of Investment Management for Private Equity Firm from Securities Business in the Category of Private Fund Management
applying for approval using similar qualifications of investor contacts approved by or registered with any foreign regulatory organizations accepted by the Office, the application shall be submitted by the