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
client’s financial information to other persons, unless disclosure is made as a result of its obligation for disclosure; (4) the derivatives broker shall not represent any fixed rate of profits or returns on
investments account and reviewing evidentiary documentation attached to the application before delivering them to the management company for considering an approval; (2) disclosure of information or documents
the rules and the time specified by the Office. Such publications or disclosure shall be displayed in a prominent place at the office of such securities company. A report together with a copy of such
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
who have suitable knowledge and ability for the duty; (2) Disclosure of information that is necessary for making investment decision to the client including investment risk, fees or expenses, conflict
suitable investment or transaction; (4) investment analysis article conducted by the intermediary ; (5) informative disclosure or relevant services provided to the client after investment or entering into
services to clients, an intermediary shall have a system to support such said activities and ensure that the communication channel, disclosure, supervision and the personnel assigned by the intermediary are