, concerning [i] unfair practice of trading securities or derivatives, or [ii] fraudulent, deceptive or unlawfully exploitable management, nor having such offense record during the period as specified by the SEC

management Ο private fund management Ο other, (please specify)…………….. 1.2. Name of applicant ………………………………………………………………… 1.3 Address of head office

Exchange Commission: For the purpose of applying for approval from the SEC Office for ………………………... (applicant’s name) ………………..., a registered auditor No…………, I, the head and the authorized person of the

in its practice of investment management. It should employ knowledge, ability and skills as a profession in management of investment under different situation, for instance: (1) Employment of personal

years; 1.1.5 Name and location of the head office, type of business, company registration number, telephone number, facsimile number, the Company’s website (if any), the number and type of the total

) ………………………………………………………… Location of head office ……………………………………………………………… …………………………………………………………………..…………………… Telephone number …………………….. Facsimile number ……………………….. Part 2: Category of an applicant □ A commercial bank under the

Attachment 3 Details of the head of internal control and compliance supervisor Attachment 4 Details of the asset appraisal Part 1 1 Executive Summary Summary of the Initial Public Offering Public Limited

purchasing or selling orders from customers outside its head office or branch offices unless otherwise specified by the Office; (7) purchase or hold shares, except: (a) those acquired in the course of

associated persons who are counter parties of the Company. 6. General information and other significant information 6.1 General information Specify the following information on the issuer: (1) Name, head

to be the highest level responsible person in the management of a company; “ head of department ” means a person responsible for the work in the departmental level of a company; “ branch manager