Exchange Commission: For the purpose of applying for approval from the SEC Office for ………………………... (applicant’s name) ………………..., a registered auditor No…………, I, the head and the authorized person of the

partner or equivalent affiliated with the audit firm; 2. I or a person with equivalent authority in the audit firm, the audit firm, other partners or equivalent, other licensed CPAs, or assistant auditors

director or executive’s full name ] Part 2: Characteristics Indicating Untrustworthiness 1st Group Characteristics (1) I am an insolvent person. [ ] Yes [ ] No (2) I am an incompetent or a quasi-incompetent

Office hereby issues the following regulations: Clause 1 In this Notification: “ derivatives broker ” means a person licensed to undertake derivatives business in the category of derivatives brokerage

/2548 Re: Qualifications and Prohibited Characteristics of an Executive of a Derivatives Business Operator dated 13 September 2005 stated that an appointment or the consent to have any person to be or to

that able to operate in practice and having a record of such test. [M] · Communicating the IT contingency plan to necessity concerned person to acknowledge. [A] · In case of having an emergency event, it

: Clause 1 In this Notification: " derivatives dealer " means a person holding a license to undertake a derivatives business in the category of derivatives dealer ; " institutional investor " means an

which are debt instruments; (2) “ securities company ” means a company licensed to undertake securities business in the category of securities dealing; (3) “ counterparty ” means a person who trades

to undertake securities business in the category of securities dealing; “counter trader” means a person who trade securities with securities company; “client” means a counter trader which is not a

securities company or derivatives intermediary, excluding venture capital fund management company, inter-dealer brokerage company and registered derivatives intermediary. “ client ” means a person who uses