Commission: I, ………(applicant’s name)………., a certified public accountant No.………………..., working with ………….(name of the audit firm)…………., hereby certify as follows: 1. My immediate family members, including
, or a client who is a provident fund or a private fund shall have prior granted a written approval [for such outsourcing], as the case may be; (b) there shall be a report on supervision of another
intermediary; “executive” means a manager and a person responsible for control, supervision and management of the business units relating to investment advice, investment planning, analysis of investment or
size of all transactions in the past 6 months also does not exceed the 15 percent threshold limits as prescribed in the regulations. The transaction takes place with immediate effect. For further
size of all transactions in the past 6 months also does not exceed the 15 percent threshold limits as prescribed in the regulations. The transaction closes with immediate effect. For further information
revoked; or in the case that the derivatives broker is part of a financial conglomerate with its shareholding structure, internal group audit and supervision carried out by another regulatory body as
for Operational Supervision of Securities Underwriting dated 25 October 2006; (3) The second paragraph of Clause 2 of the Notification of the Securities and Exchange Commission No. KorThor. 5/2539 Re