the financial statements (paragraph number........) ( 2.2 The auditor is unable to obtain sufficient appropriate audit evidence on which to base the opinion, but the auditor concludes that the possible

appropriate audit evidence and the possible effects are material, but not pervasive, resulting from: ( 2.2.1 circumstances beyond control of the entity (paragraph.........); ( 2.2.2 circumstances relating to

(MMOU), or a regulatory agency on securities or derivatives which has already signed memorandum of understanding (MOU) with the SEC Office, which the MOU contains the mutual assistance not less than as

an ongoing financial problem; (b) capability and readiness for operational function which shall be specified in such a way that it is possible for screening and selecting a service provider who has

of the Office, the determination of salary and other remuneration as well as welfare and assistance; (5) any other activities to be implemented according to the objectives of this Act. All rules

possible conflicts of interest; (d) imposing code of conduct or measure to prevent operation constituting conflicts of interest, which includes the following issues: 1. prohibited action possibly

disputes incidental to or resulted from the derivatives business. Such written agreement shall be made at the first opportunity possible but shall not exceed one year as from the date this Notification

on risks and possibility of major operational disruptions due to a possible emergency incident, as well as analyse a business impact and assess damages from major operational disruptions, so that

assistance and support to enable the SEC Office to complete the actions thoroughly, and the SEC Office shall coordinate and notify the official receiver of the said actions before the official receiver shall

at a controllable level which have no impact on undertaking of fund management; (c) determine efficient control activities in order to prevent or minimise possible damage. In this case, the