case that the Company consists of subsidiaries or affiliates, the following information is required: - Policy on operational organization within the group of companies; - Shareholding diagram of the

directors of subsidiaries Attachment 3: Details of the Heads of the Internal Audit and Compliance Units Attachment 4: Assets for business undertaking and details of asset appraisal Attachment 5: Unabridged

company or its subsidiaries for which the applicant is the auditor; 4. I or a person with equivalent authority in the audit firm, other partners or equivalent, other licensed CPAs, or assistant auditors in

and their subsidiaries for the previous accounting period , on a quarterly basis and the year-end period, categorizing as: the auditors giving opinion on the financial statements (signing partners), the

being fund supervisor are partners; (2) Limited partnership of which the fund supervisor or its directors, managers or persons with power of management who are responsible for the line of work relating to

) Page Part 4 Certification of Information Attachments Attachment 1 Details of the directors, executives, controlling persons and company secretary Attachment 2 Details of the directors of the subsidiaries

1.3 Gain (loss) on Securities trading 1.4 Gain (loss) on Derivatives trading 1.5 Interest and dividend 1.6 Interest on margin loans 1.7 Share of profit of subsidiaries and associates 1.8 Others incomes

partners of such juristic person shall not have such prohibited characteristics. 1Repealed. Clause 4/1 1 In the case where an applicant is a juristic person under Clause 3(1) who submitted an application for

) of which directors, managers and partners not having any prohibited characteristics as prescribed in the relevant Notification of the Capital Market Supervisory Board relative to Prohibited

which directors, managers and partners not having any prohibited characteristics as prescribed in the relevant Notification of the Capital Market Supervisory Board relative to Prohibited Characteristics