period, as previously issued, included a qualified opinion, a disclaimer of opinion, or an adverse opinion and the matter which gave rise to the modification is unresolved ( 2.3.1 corresponding figures are

the matter of transparency, inspection, check and balance and efficiency of the corporate governance. In this regard, the Company shall describe the following matters: 7.2.1 The composition of the Board

” means a person assigned by director of a juristic person to take the highest responsibility in managing such juristic person, no matter what the title is. “Custodian” means private fund custodian

of accounting policy (paragraph........); ( 3.1.3 inappropriate/insufficient disclosure of information (paragraph........); and having additional paragraph explains the matter of: ( 3.2 Inability to

of funds ; (3) the investment and income generating activities of funds ; (4) the administration and management of funds in any matter other than (3). Clause 3 In addition to this Notification, a

content cover the following matter [M] · Security of the Information Technology of a Securities Company. · Segregation of Duties. · Physical Security. · Information and Network Security. · Change Management

audit quality when notified by the SEC Office; 3. I consent to prepare and deliver information or evidentiary documentation as required by the SEC Office, no matter if such information or documentation is

customers or the public in any matter concerning the price, value and nature of the securities involved; (3) engage in any act which may cause damage or constitute an unfair advantage to its customers or

) measures on the use of cloud computing under the policy established in Clause 8(1) which covers: (a) an agreement between the cloud provider and the intermediary which contains at least the following matter

client and the execution of transaction for client to prevent the use of fund management business as a vehicle for money laundering provided that the policy on such matter should be in accordance with the