statements / information For the year ended for.............quarter ended Name of auditor affiliated with audit firm ( Financial statements audit ( Financial statements / information review · 1 . Unmodified
Name of auditor affiliated with audit firm Financial statements audit Financial statements / information review 1. Unmodified opinion 2. Qualified opinion due to (can choose more than one): ฆ 2.1
the Capital Market (Normal) I hereby attach the supporting documents required by the Securities and Exchange Commission Office (“SEC Office”) and confirm my willingness to provide any other information
the followings: Low level of involvement in audits by engagement partners and EQCRs Incomplete audit manuals and audit programs as required by the new auditing standards. Incompetent EQCRs in the
(UNOFFICIAL TRANSALTION) Qualifications of Applicants for Approval of Investment Consultant on Complex Products Type 1 No. Relevant Knowledge Qualifications List of Required Examinations1 (1
Investment Analysis on Technical Factors List of Required Examinations1 (1) Fundamental Knowledge (2) Related Rules and Appropriate Investment Advisory (3) Knowledge on Securities2and Derivatives (4) Knowledge
Pursuant to Section 6(3) and Section 8(1) of the Royal Decree No. 750 issued by the Revenue Department, any VC or PE Trust wishing to receive revenue tax exemption is required to notify its VC or PE
Experience1 List of Required Examinations2 Investment Analysis on Securities3 Related Rules on Investment Analysis 1 Passed Level 1 or higher of the Certified Investment and Securities Analyst (CISA) or
(UNOFFICIAL TRANSALTION) Qualifications of Applicants for Approval of Investment Planner No. Relevant Knowledge Qualifications List of Required Examination 1 (1) Fundamental Knowledge (2) Related
Experience1 List of Required Examinations2 Investment Analysis on Securities3 and Derivatives Related Rules on Investment Analysis 1 Passed Level 1 or higher of the Certified Investment and Securities Analyst