. Disclosure of any lawsuit that is part of the normal business undertaking is not required such as a compulsory performance lawsuit in cases where the issuer is a financial institution. The above disclosure
standards stipulated by the association in securities business or any other organizations in securities business accepted by the Office, mutatis mutandis . Chapter 4 Compulsory Measures ______________________
License No. Position Educational Qualification Experience in Auditing (years) 1. 2. 3. 4. (Additional details can be submitted as attachments) Details of assistant auditors who assist the audit engagement
control and proper operation of the business. Division 3 Compulsory Conditions Clause 14 An intermediary shall notify the details on the scope of function outsourced to a service provider under Clause 10 to
retrieval for review or inspection by the SEC Office without delay; (4) it shall be accommodated to the SEC Office for inspecting the operation of the service provider upon request. Chapter 3 Compulsory
characteristics of personnel in securities businesses, the Office shall proceed in accordance with the rules and procedures as specified in such notification. Chapter 3 Compulsory Measures ______________________
required such as a compulsory performance lawsuit in cases where the issuer is a financial institution. The disclosure of the description above shall include the information on the court trying the case, the
fulfilled. (Compare the actual financial ratios during the latest accounting period with the compulsory ratios). In case of failure to maintain such compulsory ratios, clarify the impacts and rectifications
to appoint a representative for the arbitral proceeding or intends to appoint any person to assist in the arbitral proceeding, the party shall notify the Office of the name and address of such person
experience regarding securities investment, financial status and ability to pay debt of such client in order to use such information to assist in reviewing of the account opening application and providing