of the SEC Office □ Supporting document items are completed. □ Supporting documents items are not completed, and shall request for additional supplementary document as follows; 1

personnel. I hereby certify that the above statements and the supplementary documentation attached herewith are complete, accurate and true. Sincerely, Signature

), since ………………(date)………….………, to ……….…(name of the current audit firm), since………..………(date)……….…………. In this regard, I have attached herewith the following supplementary documents: 1. Certification of

derivatives business operator shall submit an application for approval to the Office of the Securities and Exchange Commission together with supplementary documents in accordance with the form and procedure

. An applicant shall submit an application and supplementary documents to the SEC Office in accordance with the format and procedures specified in the electronic work system of the SEC Office. Clause 5

supplementary statement 4.1 Cash and cash equivalents It shall disclose the following detail: 20.. 20.. cash xxx xxx current and saving deposit xxx xxx bill with expiration not exceeding 3 months xxx xxx subtract

.............................................................................................. I hereby certify that the above statements and the supplementary documentation attached herewith are complete, accurate and true. Concurrently, the applicant has provided a copy of the certification

numerical assessment results, if possible), tendency or probability of occurrence. Supplementary information on specific measures already put in place and substantial alleviation of risk impacts may also be

Office together with supplementary documents according to the forms and procedures provided in the Office’s electronic system. Clause 8. The Office shall consider and make a decision relating to the

supplementary documents are true and complete and do not contain any false statement or omit any fact that should have been expressly disclosed in material respects; (b) I hereby acknowledge and give my