manager Manager Senior Junior Expert in........ Expert in........ Total * The Audit Firm may adjust the details of its position structure by identifying each sublevel of position (if any). ** Specify the
academic expert or professional in accounting, finance, business administration, economics or law; (7) “Office” means the Office of the Securities and Exchange Commission. Clause 3 . An executive of any
expert to give opinions on the dispute. An expert shall be independent and have no personal interest with any party which may cause biased and unfair opinions. The arbitrator shall determine the expert’s
premises with other people, the management company shall proceed as follows: (1) arrange to have space for the branch office to serve customers and to store documents separated from space that other people
. is clearly separated from those to be offered to the public, which is already disclosed in the registration statement and draft prospectus; (2) allotment of securities left from subscription of all
) 2., 3., 4., or 5. is clearly separated from those to be offered to the public, which is already disclosed in a registration statement and draft prospectus; (2) allotment of securities left from
as prescribed by the accounting principle. 26. Retained earnings (deficit) 26.1 Appropriated 26.1.1 legal reserve means the reserve separated from annual net income under the Civil and Commercial Code
Particulars of Client’s Assets Clause 12. A securities company shall provide an account of each client’s assets under custody of the securities company. Such account shall be separated from other asset accounts
decision to invest, the investor should study in detail before making investment decision; (4) providing knowledgeable and expert personnel to explain the information on mutual fund rating upon enquired; (5
-office supporting function for instance, the structure of unit which deals with customer or submitting trading orders (front-office function) should be clearly separated from the unit which has duties in