certified public accountant No.………………..., working with ………….(name of the audit firm)…………., hereby certify as follows: 1. My immediate family members, including spouse and minor children, and I do not hold any
of the country), hereby certify follows; 1. My immediate family member, including spouse (or equivalent) and dependent, and I do not hold any share of my audit clients and or its related entities. 2
clearly determined and tangible e.g. fund performance, management company’s performance, market share, etc. The long-term plan should demonstrate the direction of the business and the future plan such as
mobile devices; (7) arrange for actions to mitigate impact when an information security incident occurs, for example, immediate disconnection upon being aware of an incident, etc. In the case that the
immediate review shall be done when any circumstance occurs which may affect the qualifications or prohibited characteristics of the service provider or may cause violation of the regulations as prescribed in
Derivatives Intermediaries dated 6 September 2013. Clause 3 The regulations detailed in this Notification are stipulated for intermediaries to proceed in the same direction in compliance with the Notification
in the same direction with regard to proprietary trading in the following matters: (1) General Provisions shall be in accordance with Chapter 1; (2) Additional Rules for Proprietary Trading of
shall be made readily available for immediate use or verification by the management company , and shall be made available for the SEC Office’s inspection upon request. Clause 15 In case the SEC Office
Clause 27 in a manner that it is readily available for immediate request or inspection by the SEC Office, and shall maintain such documentation for at least five years from the date of the closing of the