Audit Firm Name: Subject : Ethical Requirements Prepared by Date INDEPENDENCE, INTEGRITY AND OBJECTIVITY: A. Independence Procedures Checklist: Obtain a copy of the firm’s documented ethics
the first paragraph shall be based upon the factors specified in Clause 14. In case of intentional or gross negligent violation which causes the violator to obtain ill gotten gain or causes damages to
an external auditor, or other third party, to verify the internal tracking and the allocation of funds from the Social Bond proceeds. There are a variety of ways for issuers to obtain outside input to
derivatives positions; (b) instruct the closing out of derivatives positions; 4 (c) limit derivatives positions; (d) limit derivatives trading volume. (2) establish the rules requiring members to obtain a
shall refer to the registration statement which has been filed together with the application for approval only; (3) obtain an explicit resolution from the company’s board of directors approving the
) which obtain a securities business license in the category of securities brokerage not limited to debt securities or investment units; (3) a person who obtains derivatives business license in the category
securities business license type A or is in a process of applying for such license; (2) securities companies other than the securities company under (1) which obtain a securities business license in the
securities business license type A or is in a process of applying for such license; (2) securities companies other than the securities company under (1) which obtain a securities business license in the
business license shall obtain securities business license only when it has the following qualifications: (1) having paid up registered capital not less than the amount specified in the notification of the
Exchange Commission. Chapter 1 Application for Approval ______________________ Clause 4. Persons who obtain approval to be investor contact shall be divided into two categories which are Category A Investor