. Assets 5. Legal disputes 6. General information and other material facts Part 2: Management and Corporate Governance 7. Securities and shareholders 8. Organizational structure 9. Corporate governance 10

contained in the Registration Statement is vested in the issuer. If the Registration Statement contains any false statement or particulars or omits to state any material information which should have been

appoint it to act as securities broker. For the purpose of fairness to the parties, the SEC may specify any particulars which are material to the agreement.

chief executive of the intermediary ; (3) a complete and updated evidentiary documentation of the operational function outsourced to the service provider shall be maintained in such a ready manner for

system ready for keeping assets into its custody; □ (3.8) System to coordinate with the custodian agent to ensure that the applicant is able to perform its duties accurately and completely as a custodian

opinion · 2 . Qualified opinion due to (can choose more than one): ( 2.1 Misstatements that are material, but not pervasive, resulting from: ( 2.1.1 selection of an inappropriate accounting policy

, having obtained sufficient and appropriate audit evidence, concludes that misstatements, individually or in the aggregate, are material, but not pervasive to the financial statements ; from ( 2.1.1

establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent

general public as being ready to engage as an agent in the business of trading in derivatives with others, and has been licensed or registered under this Act, excluding those derivatives brokers with the

) “ insider information ” means a material fact which would affect the price of a securities and has not been disclosed to the public, and has become known to a securities company during the course of the