) certifying that if the auditor of such audit firm is granted an approval from the SEC Office, the audit firm shall monitor and improve the audit quality control system in compliance with the standards
the capital market were taken care of to ensure that they would be able to continue functioning seamlessly. In this regard, building a quality financial reporting system in compliance with international
compliance with law establishing such legal entity or law controlling business undertaking of such legal entity; (4)3 being able to show that capital market personnel performing one of the following duties has
applicant has any deficiency or inappropriateness regarding the sound business control conduct; (3) being able to maintain capital funds and set aside reserve capital in compliance with law establishing such
applicant has any deficiency or inappropriateness regarding the sound business control conduct; (3) being able to maintain capital funds and set aside reserve capital in compliance with law establishing such
and the person to be responsible for damage of clients’ assets as well as a requirement of the agent’s compliance with this Notification. The securities company shall inform its client of the
clients’ assets as well as a requirement of the agent’s compliance with this Notification. The securities company shall inform its client of the appointment of an agent to undertake custody of clients
clients’ assets as well as a requirement of the agent’s compliance with this Notification. The securities company shall inform its client of the appointment of an agent to undertake custody of clients
security as well as supervise, monitor and examine compliance with such policies, measures, and operating systems, and review the suitability thereof regularly; In the interest of meeting the aforesaid
security as well as supervise, monitor and examine compliance with such policies, measures, and operating systems, and review the suitability thereof regularly; In the interest of meeting the aforesaid