the audit firm’s or has been received from its clients; 4. I well acknowledge and understand the requirements in the Notification of the SEC Office regarding Approval of Auditors , and I am willing to
for acknowledge and control to comply . [A] 2. Controlling the development or alteration the operational system 2.1 Request. · A request for development or alteration the operational computer system
, I hereby acknowledge that, for the purpose of rendering consideration whether to list my name onto the Issuing Company’s Director and Executive Database, the SEC Office will take the following
customer within seven days from the date the derivatives broker completes its consideration of the customer complaint; (3) notifying the customer to acknowledge the rights to propose the complaint to be
Securities and Exchange Commission throughout the approval period. I fully acknowledge that failure to proceed in accordance with this certification may lead to the SEC Office’s refusal to grant approval to
client to acknowledge the result of the client ’s categorization, rights, restrictions and risk level, including right to request for changing categorization to be treated as retail investor. Clause 34 For
securities company. O other cases (please specify)……………………….………... O no 6.8 Being a manager or a person with managing power of a partnership or a limited company in which he or she or the person or partnership
undertake securities dealing that is limited only to debt instruments. “institutional client” means the following persons who undertakes transactions with a securities company in securities brokerage or
announcement of NAV Objective The management company shall calculate the assets value by using a fair value and specify the period for announcement of the assets value for the client to acknowledge the changes
categorized type of the client , the intermediary shall notify the client to acknowledge the result of the client ’s categorization, rights, restrictions and risk level, including right to request for changing