standards by focusing on the quality assurance of audit firm?s internal procedures. As a result, the quality of supervision on auditor in the capital market has become well-accepted from the EU, World Bank
investors, and are divided into two categories: Category A Investor Contact and Category B Investor Contact; (3) “Category A Investor Contact” means any investor contact who is also authorized to analyze
has been approved or registered to perform duties similar to investor contact from a regulatory organization of the countries accepted by the Office, in case the investor contact has obtained approval
) Certificate of Juristic Person Registration or Incorporation Document Original: 0 copy Photocopy: 1 copy Remark: (1) Sign to certify on every page by the leader of the audit firm and authorized signatory of the
, indicating that he had been authorized by his client to make securities trading decisions on the client's behalf. The communication record showed that {A} called to inform his client of the trading orders
customer since 2008. On April 24, 2011, {A} sent a letter that she accepted the trading decisions without the client's instructions. In addition, she had been authorized by her client to make securities
securities firms? accounts were used with intent to build up trustworthiness. The SEC thus warned investors to be cautious and choose services offered by the SEC-approved fund managers working for licensed
leader of the audit firm and authorized signatory of the audit firm. - 3) Certification of the Applicant via SEC Office Online Form Original: 1 copy Photocopy: 0 copy Remark: Signature of the applicant - 4