Approval of Auditors ; 5. I entirely understand the code of ethics for professional accountants and will perform audit work in compliance with the code; 6. I entirely understand the generally accepted

of the skills and knowledge in relation to the performance of duty as investor contact using three criteria being 1. Participation in activities accepted by the Office, 2. Further education and 3

seminars organized either by securities companies or training institutes accepted by the Office; (2) Being a speaker, lecturer, full-time or guest instructor at universities accepted by Office. 1.2 Scope of

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

rules, conditions, and procedures for appointment and conduct of fund manager; (9) “Training Institute” means training institutes accepted by the Office; (10) “Unit-linked life insurance policy” means an

. However, in the case where there is a complaint on the advise, trading instruction or negotiation and the case of the complaint has not yet been finished within such period, the securities company shall

International Standards on Auditing and I will perform audit works in compliance with the standards. 7. I entirely understand Generally Accepted Accounting Principles (GAAP). 8. I entirely understand my

date of the complaint received. And if the derivatives broker has not yet finished its solution to the complaint, a progress report shall be delivered to the Office every thirty days until the

complaint rapidly and report the results to the SEC Office within thirty days from the date of the complaint received. If the securities company has not finished its solution to the complaint, a progress

the responsible person of such scheme. “ credit rating ” means the credit rating by a credit rating agency accepted by the SEC Office which estimates the capability to make repayment under instruments