information security in accordance with the following criteria: (1) define and document information security roles and responsibilities and establish operating guidelines for the personnel of the intermediary

management arrangement for the organization of information security in accordance with the following criteria: (1) define and document information security roles and responsibilities and establish operating

Securities and Exchange Commission specifies the rules related to securities issuance, offer for sale of securities or undertaking of securities business, but does not specifically define the terms

have the power to specify in its notification the rules with which derivatives business operators shall comply.

appoint it to act as securities broker. For the purpose of fairness to the parties, the SEC may specify any particulars which are material to the agreement.

specified in the notification of the SEC. In this regard, the SEC may also specify fees or service charges which the securities company may charge its customers for the performing underwriting service.

specified in the notification of the SEC. In this regard, the SEC may also specify fees of service charges which the securities company may charge its customers for performing investment advisory service.

upon the recommendation of the SEC has the power to specify conditions with which the license holder shall be required to comply in the undertaking of the securities business. In cases where there has

of the Office. In issuing the notification in accordance with the first paragraph, the Office shall specify the following important matters: (1) capital fund, net total assets and business operation of

) .............................................., telephone: ........................ , facsimile:............................... If the Audit Firm does not incorporate and not operate as a sole entity, please specify the name and address of its network firm