Other Applications when the application and the evidentiary documentation are accurate and complete in compliance with the Licensing Manual for the Public. In the case where it is necessary for the SEC
documentation demonstrating that it has qualifications as stipulated in Division 2 of this Chapter. In case of the company stated in Clause 4(2), the following evidentiary documentation shall be submitted as well
reviewing the adequacy of the internal control at least once a year. Extra revision may be necessary in case of any incidents which have significant impacts on the companies’ operations. Such assessment
instruments or financial transactions: (1) shares of an investment company; (2) unit trust certificates; (3) instrument or evidentiary documentation showing the right in the assets of foreign collective
notified by the SEC Office; 3. I consent to prepare and deliver information or evidentiary documentation as required by the SEC Office, no matter if such information or documentation is the audit firm’s or
Investment Scheme and Submission of Evidentiary Documentation in Chapter 1; (2) Provisions relating to Draft Prospectus in Chapter 2; (3) Reporting of the Sales of Units of Foreign Collective Investment Scheme
shall submit an application for approval to the SEC Office according to the form provided on the website of the SEC Office together with relevant evidentiary documentation. In this regard, the SEC Office
directors; (1) management of information technology risks which covers identification, assessment, and control of risks within the organization’s acceptable level; (2) allocation and management of information
according to the procedures specified in Clause 13 of the Licensing Manual. Remarks: ** If the application or evidentiary documentation is incorrect or incomplete and cannot be fixed or filled up at the