Submission of Daily Status Report
The Exclusion of Investment Management for Private Equity Firm from Securities Business in the Category of Private Fund Management
)...from…(INSTITUTION)… (NAME).......... 5. Marital status ( Single ( Married ( Unregistered married ( Divorced ( Others........... Spouse’s name
)...from…(INSTITUTION)… (NAME).......... 5. Marital status Single Married Unregistered married Divorced Others........... Spouse’s name
Department 2) Consideration SEC official inspect qualifications of applicant by checking qualifications and status of the applicant 59 days Accounting Supervision Department (Unofficial Translation) 3 Step
three years; (4 ) a profi l e and relevant details of the audit firm; (5 ) a certification and consent letter of the audit firm (Form 61-2); Period of Approval Validity : not
Audit Firm Name: Subject : Leadership Responsibility Prepared by Date LEADERSHIP RESPONSABILITIES FOR QUALITY WITHIN THE FIRM Particulars Reference / Guidance Notes Description 1 Who is the ultimate
Audit Firm Name: Subject : Monitoring Prepared by Date Particulars Reference /Guidance Notes Description A Monitoring the Firm’s Quality Control Policies and Procedures 1 Does the whole firm perform
Audit Firm Name: Subject : Human Resources Prepared by Date Particulars Reference /Guidance Notes Description A Human Resources Planning 1 Is the firm’s human resource planning in line with the
Audit Firm Name: Subject: DOCUMENTATION Prepared By: …………. Date: ……………….. Documentation Sr. Particulars Reference / Sr. Particulars Reference / Guidance Notes Description 1 How does the firm document