the audit firm’s or has been received from its clients; 4. I well acknowledge and understand the requirements in the Notification of the SEC Office regarding Approval of Auditors , and I am willing to

, I hereby acknowledge that, for the purpose of rendering consideration whether to list my name onto the Issuing Company’s Director and Executive Database, the SEC Office will take the following

customer within seven days from the date the derivatives broker completes its consideration of the customer complaint; (3) notifying the customer to acknowledge the rights to propose the complaint to be

Securities and Exchange Commission throughout the approval period. I fully acknowledge that failure to proceed in accordance with this certification may lead to the SEC Office’s refusal to grant approval to

system for receiving and delivery the client ’s assets between the intermediary and such third party, and for monitoring the consequence thereof. In this regard, while awaited delivery of the asset or

companies, such as submission of securities trading order, clearing and settlement and delivery of securities and assets, sale and redemption of investment units, and NAV calculation. 3.2 Risk Assessment

clients’ order for accuracy and completeness disbursement 1.5 Control of receipt and disbursement of money including relevant documents 1.6 Collection and delivery of financial and other relevant documents

shall be in custody of a third party, the intermediary shall provide efficient system for receiving and delivery the client ’s assets between the intermediary and such third party, and for monitoring the

contract with the derivatives dealer. Clause 13 8 A derivatives dealer shall provide the procedure to ensure that the clients acknowledge and understand the information and risks relating to derivatives

for acknowledge and control to comply . [A] 2. Controlling the development or alteration the operational system 2.1 Request. · A request for development or alteration the operational computer system