. My immediate family member, including spouse (or equivalent) and dependent, and I are not director, management or agent of my audit clients and or its related entities. 3. I am not an officer or an

company” means any company licensed to undertake securities business; (2) “Executive” means director, manager or person with power of management; (3) “Person with power of management” means executive

director, manager or person with power of management; (3) “Person with power of management” means executive director, deputy manager, assistant manager, department director, branch manager and shall also

2000 shall be repealed. Clause 2. In this Notification, “Mutual fund manager” means a director or an employee of a management company who is authorized by the management company to make decisions

the Securities and Exchange Commission as qualified to be appointed as fund manager; “Person with Power of Management” means managing director, deputy-manager, assistant manager, department director

entrusted to sell or redeem investment units, as the case may be, of mutual fund; “Staff” means any staff and employee of the management company and shall include managing director or equivalent which is

behaviors materially influence the management policy making or the Company's operation (for example, assigning a person to be an authorized director). If the shareholders identified above do not represent the

the management of funds; or (b) being the position of director, manager of the management company, or any person holding equivalent position called otherwise who take the highest responsibility in the

act as a director, manager or person with power of management of derivatives business operator must be approved by the SEC Office, the SEC Office hereby issues a guideline on application for approval

licensed to undertake securities businesses under the law on securities and exchange; “Executive” means director, manager or person with power of management; “Person with power of management” means executive