apply) Documents Yes No N/A Reasons for No and N/A (1) Form 61-1 F Application for registration as a foreign auditor in the capital market. Signature of the applicant is required. (2) Applicant’s personal

. Audit experience of the applicant (1) Total audit experience: ..................year(s) (1.1) Since................(DATE)..................to............................(DATE

Securities and Exchange Commission I, ........[FULL NAME]........, leader of……......[NAME OF AUDIT FIRM]…............ certify that: 1. …(FULL NAME OF APPLICANT) ....., CPA License No. .............., is a

be repealed. Clause 2. In applying for approval and renewal of private fund custodian, an applicant shall submit an application in accordance with Form 135-1 together with supporting documents as

shareholder or a beneficial owner of more than ten percent of the total voting rights of the applicant. For the interest of the provision under Paragraph 1, a “ beneficial owner ” means the beneficial owner of

Business Operator in the Category of Derivatives Broker, Derivatives Dealer and Derivatives Advisor, dated 29 January 2004 shall be repealed. Clause 2. The applicant for registration to be a derivatives

derivatives whose underlying products are debt securities or variables are interest rates or any other variables as prescribed by the Office; (4) “applicant” means a person applying for derivatives business

Subj: Establishment of representative office abroad The applicant hereby notifies the establishment of a representative office abroad with details as follows: 1. Address

reasonable ground to believe that the applicant has financial condition that is likely to cause damage or any other circumstances indicating the applicant ’s financial hardship, including not having any

. Chapter 1 Qualification of Applicant _________________ Clause 3 An applicant applying for the license of precious metal derivatives brokerage shall be newly established limited company or public limited