: ............................ Remark : The applicant is required to notify the SEC Office in advance at least five business days before the opening of the representative office abroad.
auditor shall disclose the facts and material impact on the financial statements in his audit report on which he is to sign in order to give his opinion. Any auditor who fails to comply with the provisions
to sign on behalf of the management company; (b) the directors authorized to sign on behalf of the financial advisor and the supervisor of the financial advisor; (c) the directors authorized to sign on
form and procedures provided in the electronic system of the Office or by any other means notified in advance by the Office. Clause 3. This Notification shall come into force as from 14 March 2008
involves capital inflow or outflow, as per the forms and procedures provided by the Office in electronic systems or as per any other forms which the Office shall notify the derivatives broker in advance
…………………………….. Authorised person sign (…………………………….) on behalf of the applicant. Position ………………………………. Date ………………………………….. Affix the company’s seal (If any) Note: The Application and supporting documents according to the
agent; “mutual fund rating” means giving advice or opinion or suitability of investment in a mutual fund in comparative value and may be giving a sign or other symbol for supplementing such advice or
consultation, if the client has still insisted, the intermediary shall arrange the client to sign for confirmation that the client accepts risks arising from such investment or transaction. Clause 36 For the
information with the Office in advance so as to ensure that such training course or seminar can be duly counted in the participation hours. The Office will inform the result of consideration within 15 days from
reconsidering if the client insists to invest. After giving additional consultation, if the client has still insisted, the intermediary shall arrange the client to sign for confirmation that the client accepts