” assessment results in the part relating to auditing? Yes No Have you ever been inspected the audit quality by the audit oversight authority? Yes No If yes, please provide us the latest results of the
that was assessed under the FSAP and earned at least “Broadly Implemented” assessment results in the part relating auditors? Yes No 4.5 Have you ever been inspected by the audit oversight authority? Yes
………………………………………………………………. (Please specify the inspected ISQC.) (4) Summary of inspection results……………………………………………………… (Please specify risks associated with the non-compliance of the policies, procedures, standards on auditing, the
, firewall and router should be verified to ensure that any critical information relevant to configuration has been completely removed or restored to factory setting by using techniques to make the original
retrieved and inspected by the SEC Office. The securities company shall maintain reports or articles on securities investment analysis for at least two years from the publication date in such a manner that
which can be promptly retrieved and inspected by the Office, and the securities company shall maintain the reports or articles on securities investment analysis for at least two years from the publication
date on which the information was recorded in the system. In this regard, during the first two years it shall be kept in a manner that is able to be retrieved promptly and inspected by the SEC. Clause 5
with the SEC Office when the operation and evidentiary documentation relating to assigned duties of the representative is inspected. Chapter 2 Superintending Representative by Management Company
years from the date of issue, in a way that such documents are prompt to be called or inspected by the SEC Office without delay. For the purpose of (4) in the first paragraph, the term “cyber security