auditor shall disclose the facts and material impact on the financial statements in his audit report on which he is to sign in order to give his opinion. Any auditor who fails to comply with the provisions
holding an equivalent position or higher, who is in charge of financial advisory functions fails to meet the conditions set forth under (3) (4) (a) (b) or (c) of Paragraph 1 or (5)(a) or (c) of Paragraph 1
person to revise its operation within the period of time specified by the Office and such registration shall be deemed valid until the Office orders otherwise. In cases where the Office declines to grant a
In the case that the trust manager fails to maintain its qualifications in accordance with Clause 3 or fails to comply with Clause 4, Clause 5, and Clause 6, the provision of the Notification of the
intention whether or not to have the mediation within fifteen days from the date of receipt of the copy of the statement of claim. If the respondent fails to inform his intention within such period of time
). 3 Clause 6 In the case where any securities registrar fails to maintain the qualifications as shown in the application for a license under Clause 3(2) (3) and (4), the Office shall have the power to
providing trading service. Clause 9. In case where person responsible for undertaking of foreign collective investment scheme fails to comply with agreement made with securities company under Clause 6