client’s assets; □ (3.6) System to prevent conflict of interest and protect client’s confidential information; □ (3.7) System for selection of a custodian agent to ensure that the custodian agent has a
management; selection and monitoring of its personnel assuring that they have and maintain such qualifications that correspond to the nature of their duties; measures to prevent improper access to inside
selection of arbitrators under Clause 14 or Clause 15 is completed, the parties shall appoint the arbitrators as per Form OrYor. 5 or OrYor. 5-1 prescribed by the Office, as the case may be. Clause 17. Upon
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
accordance with the second paragraph shall be completed within three months from the end of each accounting period. For each financial year, such preparation shall be completed within twenty-one days from the
demonstrate that there are systems on the appointment of a custodian agent in place as follow: (1) System for selection a custodian agent to ensure that the custodian agent has a system ready for taking assets
should be prescribed. 4. Criteria for selection of personnel for each unit shall encompass the educational background and related work experience. Such personnel should not have record in violation of the
the financial statements for the first six months of the financial year shall be completed within three months from the end of each accounting period, while the financial statements for each financial
impact on the clearing system. Please be informed that the SEC Office has now completed the One-For-All- Reporting System (OFAR) as a new channel for submitting the daily status report in replacement of
Home Jurisdiction: ___________________________________________________________ [ ] 1. Form 69 – CIS full ( completed by Qualifying CIS Operator ) [ ] 2.* Standard letter issued by the Home Regulator to a