(paragraph ........); ( 2.1.2 incorrect use of accounting policy (paragraph........); ( 2.1.3 inappropriate/insufficient disclosure of information (paragraph........). ( 2.2 Inability to obtain sufficient

Normal Approval Applicant’s personal record and firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of

1 Applicant’s personal record and audit firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of this

operating system or other measures: (a) punishing directors, executives or other personnel who have involved in the breaching; (b) reimbursing damages or compensating deficient interests to the client (if any

, if the remaining clients’ assets are insufficient for allocating to the clients in full, the SEC Office shall distribute the allocation proportionately according to the client asset accounts prepared

deficient interests to the client (if any); (c) reviewing the system or measures and providing a plan for improvement of such system or measures in order to prevent recurrent failure of their performance; (d

of importance of the objectives. If the raised fund this time is inadequate for the objectives of spending as earlier specified, disclose the sources of fund for further fundraising. 2. In case of

) The value of outstanding investment units is insufficient to accommodate the expenses for further investment management; (2) The nature of the sale of investment units, the number of unitholders or the

offer for sale of newly issued shares rejected by the SEC Office on a suspicious ground related to disclosure of information that was incomplete, insufficient for making an investment decision, or that

also be disclosed if the Company views that the minimum requirement is insufficient to demonstrate future trends and may cause misunderstanding of the Company's financial condition and operating results