in the audit firm who has an influence on the applicant’s giving of opinions, including the spouse and minor children, of the person with equivalent authority, of other partners or equivalent, of other
past three years is no longer required in this annual registration statement. However, if the Company relies on any customer or supplier who has a significant influence on the survival of the Company
standards arranged by the association or the training institute. If such approved person fails to attend the training course within the specified period, the approval shall be deemed terminated and the Office
each period of time. Remark : If the Company relies on any customer or supplier who has a significant influence on the survival of the Company, such information shall be disclosed as a risk factor. Any
. However, if the Company relies on any customer or supplier who has a significant influence on the survival of the Company, such information shall be disclosed as a risk factor. Any reliance exceeding 30
arranged by the derivatives fund manager must possess knowledge, ability and business understanding and is subject to the approval of the Office in accordance with rules as prescribed in the notification of
, grandmother, uncle, aunt, etc.; - relationship where one has control over or is able to exert influence on the other, e.g., director, executive, auditor or spouse of such persons is the employer of the
supplementing documents. Clause 7. The custodian may commence such securities business only after the Office has approved that the custodian has arranged its operation system and personnel to be ready to
nowadays, whereby the responsible staff in every level shall participate in the test. The BCP of critical business functions shall be arranged at least once a year or when there is a significant change
operation and shall demonstrate to the Office that such fund supervisor has arranged to have systems ready for the operation of fund supervisor business under Clause 2(4) and shall have the personnel of the