Net Profit Your Responsibility* 1. 2. 3. 4. * Signing Partner, Engagement Partner, Engagement Quality Control Reviewer and etc. 4. Registration with an audit oversight authority 4.1 Are you currently a
Notification: “ deposit ” means the following assets: (1) cash deposit, certificate of deposit, depository or other instruments having similar characteristics and whose deposit accepters being a financial
oversight authority Are you currently a registered auditor in your home jurisdiction with an audit oversight authority? Yes No If yes, please state the – Name of the authority Your Registration number Contact
or a group of persons who authorized a management company to manage a private fund; “Liquid asset” means assets as follow: (a) Cash or deposit money; (b) Certificate of deposit or promissory notes
. KorThor. 67/2547 Re: Call for and Deposit of Margins for Derivatives Trading in Derivatives Exchange dated 22 December 2004 and Clause 3(4) of the Notification of the Securities and Exchange Commission No
derivatives broker may invest or deposit a client's cash if complying with the following rules: (1) depositing with a commercial bank or other banks established under specific law or investing in certificates
an audit oversight authority. Signature of the applicant to certify true copy is required. (9) Photocopy of the latest inspection result or report issued by the audit oversight authority. Signature of
duties of the Board of Directors to ensure control, oversight and monitoring of its performance with transparency and efficiency. Specify also the roles and duties of chairman and manager or the person
liquidity for derivatives trading in derivatives exchange; (4) “ initial margin ” means the minimum amount of assets which a client shall deposit to secure the performance of derivatives when entering a
acknowledgement of procedures for making a deposit or withdrawal of assets with or from the securities company, and methods for undertaking custody of clients’ assets as well as fees charged for custody of such