....................................................... Quality Assurance Review Panel ................................... Activities for Enhancing Audit Quality ............................ Summary of Audit Inspection Results A. Firm Level
Certification of audit firm leader Date……..Month………….Year………… Dear Secretary – General of the Securities and Exchange Commission I, Mr./Mrs./Miss………………………………………………….… (leader’s name), the leader of
/or admitted to trading. B. Entities Providing Liquidity. If any entity has made a firm commitment to act as intermediary for the debt securities in secondary market trading, such as market maker
an opinion on audit reports; 2.2 being affiliated with an audit firm that has an audit quality control system and the required number of personnel; 2.3 meeting other requirements, e.x., not having
and financial statements audited by an auditor who is employed by an audit firm that has been inspected by the SEC*; 2. Submit half-year and annual financial statements that have been
Consent of Audit Firm) .pdf file | .doc file 3. Form 61-3 (Notification for Change of Audit Firm) .pdf file | .doc file 4. Background and Details of Applicant Requesting Approval .pdf file
monitored with professional investment advices. If investors encounter any solicitation to transfer money into an account of securities firm, whether or not it is the firm that investors have already opened
monitored with professional investment advices. If investors encounter any solicitation to transfer money into an account of securities firm, whether or not it is the firm that investors have already opened
: .......................................................... E-mail address: ........................................................................................................................ 7. Affiliated with audit firm
: .......................................................... E-mail address: ........................................................................................................................ 7. Affiliated with audit firm