the Office shall be positive. In case where the securities company increase its paid-up capital after the issuance of the latest financial statement, such increasing shall be calculated in the

shall be positive. In case where the derivatives broker increase its paid-up capital after the issuance of the latest financial statement, such increasing shall be calculated in the shareholder’s equity

assign their authorization to the CFO? 3 Whether the firm has designated a Quality Control partner who takes ultimate responsibility for the firm’s QC system? If yes, Does the firm leadership provide the

from the closing date of the subsequent offering of units to increase the fund’s capital , as the case may be. Clause 24 The management company shall ensure that the commitment between the unitholders

increase or decrease in the number of shares; (c) redemption of securities; (d) amalgamation, merger or takeover by making a tender offer; (e) distribution of share dividends; (f) conversion of securities

be applicable to the outsourcing of operational function of an intermediary to third parties in order to increase flexibility and efficiency of business operation of the intermediary . In this regard

duties but also provide investors with better quality services. In cases where securities companies assign their investor contacts to contact, solicit or advise their customers, the Office expects the

securities underwriter after an offer for sale of the underwritten securities so that the underwriter shall be able to allocate shares in excess of the underwriting amount. Such proceeding will increase the

procedures assign responsibility for review of all reports, financial statements, and working papers to a reviewer who is senior to the preparer? If yes, please describe the policies and procedures If no, how

exchange Earnings from operation before change in operating assets and liabilities Operating assets (increase) decrease Long-term deposits at financial institutions Securities purchased under reverse