audit on the internal control system concerning the B/E issuance, related receipt and payment transactions, and the company's accounting records practice. In addition, KC must examine the issue raised by
company accounting period. TTA will examine whether the shareholders? request and shareholding of each requesting shareholders is accurate before proceeding in accordance with relevant laws and
advisors, and derivatives business operators are required to report suspicious transactions as specified by the law to the AMLO; which has the power to examine the report and information relating to
examine the operation of such branch office. (Unofficial Translation) 2 In case where no person is responsible for the operation of branch office under the first paragraph or such person is unable to
handling the customer complaint as well as reporting progress and notifying the results provided by the derivatives broker; (3) arrange to have a system to monitor and inspect customer complaint proceedings
less than five years. In the first two years, those information and documents shall be preserved in such a way that is promptly available for the Office to view or inspect.” Clause 3 This Notification
than five years. In the first two years, those information and (Unofficial Translation) documents shall be preserved in such a way that is promptly available for the Office to view or inspect.” Clause 3
the first two years, those information and (Unofficial Translation) documents shall be preserved in such a way that is promptly available for the Office to view or inspect.” Clause 3 This Notification