Office, the claimant shall submit a statement of claim in the Form OrYor. 1 prescribed by the Office, together with documents and evidence as specified in such form and shall make sufficient copies of the

, 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

the securities company may reduce the expenditure for undertaking its business by using back office service from service provider and due to the criteria for undertaking securities business of

(paragraph ........); ( 2.1.2 incorrect use of accounting policy (paragraph........); ( 2.1.3 inappropriate/insufficient disclosure of information (paragraph........). ( 2.2 Inability to obtain sufficient

audit firm, hereby certify and consent to the followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply

control system which is sufficient and reliable for supervising its auditors’ work to comply with the professional standards on a continuous basis. Such audit quality control system complies with

. The securities company shall provide a physical security system which is sufficient for preventing any unauthorised person from accessing to significant computer devices stored in the information centre

capabilities fully and cautiously with sufficient information and referable evidence; (c) members shall disclose to clients any case where the members have an interest, whether directly or indirectly, in any

clients An intermediary shall compile [i] sufficient information relating to clients in order to identify the clients and [ii] other information for supporting its properly provided services; (10

the fund ; (2) the analysis and feasibility study on the establishment of the fund , including due diligence on the infrastructure asset to be acquired, and the disclosure of accurate and sufficient