conjunction with fund management. Such keeping shall be systematic and make searching easy; (c) retention period shall not be less than five years from the date the particulars or transactions of customers have

to inform you that I have been resigned from ………………………….…(last audit firm’s name) since………………………. and transferred to work with……………………………(current audit firm’s name) since………………………… Yours Sincerely

: .......................................................................................... 4. Academic degree(s) ( Bachelor's degree in....... (FIELDS OF STUDY)........ from ….(INSTITUTION) ............. (NAME)................ ( Master's degree in .......... (FIELDS OF STUDY)....... from

whole or in part, to manage the business of the securities company only with the approval from the Office. In cases where it later appears that the persons under the first paragraph have the prohibited

in a line of work relating to money market or capital market, or work experience in the management level that is beneficial to management of securities business or work experience from being an

to the nature or timing of the auditor’s work (paragraph........); ( 3.2.3 limitations imposed by management (paragraph........). ( 3.3 Misstatements that are material, resulting from: ( 3.3.1

........) ( 3.3 Material misstatements arising from ( 3.3.1 Appropriateness of selected accounting policies (paragraph number........) ( 3.3.2 Circumstances relating to the nature or timing of the auditor’s work

structure 1.1 Segregation of work units and responsibilities Objective A management company shall have organisational structure that reflects the systematic segregation of duties. The mission, strategy

the Office’s electronic work system within thirty days as from the date the Office receives complete and accurate application and supplemental documents. In case the Office refuses to grant approval for

electronic work system of the Office. The Office shall notify the securities company of the result of consideration of the application within thirty days from the date in which the Office receives the