[such establishment] with the SEC Office; [or] (2) an association relating to supervision of derivatives intermediaries, of which objectives is for promoting and supervising derivatives intermediaries

plan on information systems in accordance with the results of risk assessment; (b) define the scope of technical audit on information systems to cover key assessed risks, provided that such audit shall

audit firm, hereby certify and consent to the followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply

control system which is sufficient and reliable for supervising its auditors’ work to comply with the professional standards on a continuous basis. Such audit quality control system complies with

Office; [or] (2) an association relating to supervision of derivatives intermediaries, of which objectives is for promoting and supervising derivatives intermediaries, having obtained an approval [for

that was assessed under the FSAP and earned at least “Broadly Implemented” assessment results in the part relating auditors? Yes No 4.5 Have you ever been inspected by the audit oversight authority? Yes

promissory note, drawer of bill of exchange or deposit taker under Paragraph 2 is a bank established under specific law, the issuer rating under Paragraph 2 shall include support credit rating assessed by the

that the operation of the securities company follows laws on securities and exchange and notifications issued by virtue of such laws. In performing duty in supervising the securities company under the

term of the quality of the audit oversight system ? Yes No Is the audit oversight authority you registered with in the country that was assessed under the FSAP and received at least “Broadly Implemented

business growth rate in 3-5 years 2. The executive should prescribe key policies in supervising the undertaking of fund management business in writing with an approval from the board of directors of the