Appropriateness of selected accounting policies (paragraph number........) ( 2.1.2 Application of the selected accounting policies (paragraph number........) ( 2.1.3 Appropriateness or adequacy of disclosures in
terminated due to the unsuccessfulness of the mediation, as the case may be. If the claimant fails to notify the list of his selected arbitrators within such period of time, it shall be deemed that the
operation of the Company and the subsidiaries. The selected subjects should be significant to the business operation, for example, exposing material risks to the core business or impacts on the stakeholders
strategic plan, and disclose progress reports for the benefit of sustainable business operation of the Company and its subsidiaries. The selected subjects should be significant to the business operation, for
of promissory note as the case may be as a supplement for the usage of credit rating assessed by credit rating agencies; (4) shall regularly revise the suitability of the credit rating selected
cause any conflicts of interest with the management of mutual funds; (2) Having attained the age of twenty; (3) Having passed the fundamental knowledge examination for professionals administered by a
regularly revise the suitability of the credit rating selected, specifically, in the case where credit rating assessed by other credit rating agencies is changed. Securities company shall make and keep
Fundamental of Financial Statements (UFS) [ ] Role of the Compensation Committee (RCC) [ ] Improving the Quality of Financial Reporting (QFR) [ ] DCP Refresher Course [ ] others (please specify) [ specify
specifying that the advice is given on behalf of the investment advisory company and the investment advisory company shall be responsible for the advice given to each customer; (4) statements on fundamental
________________ Clause 13 5 A securities company licensed to undertake the securities brokerage business shall do fundamental analysis report and provide such information to client, provided that such process shall