is an affiliated company ; (3) internal audit only if the outsource operator is an affiliated company or audit firm; (4) compliance function only if the outsource operator is an affiliated company ; (5
price is a firm quotation or an indicative quotation. Clause 10. In case where securities company offer a firm quotation, such securities company shall; (1) Purchase or sell with such offering price and
company shall notify its counterparty whether an offer price is a firm quotation or an indicative quotation. Clause 11 In the case where a securities company bids or offers a firm quotation, the securities
Company audit client and all subsidiaries audited by the firm) will regularly be more than 15% of the firm’s annual fee income (or where Audit Engagement Partner profit share not on a firm basis, on that
shareholder of the Audit Firm is a company, please specify the major shareholder of that company in order that the SEC Office will have the information of the natural person who is the ultimate shareholder of
office, type of business, company license number, telephone number, facsimile number, home page (if any), amount and type of the total sold shares of the Company; (2) Name, head office, type of business
appraisal system are according to international practice; 3. Being an international asset appraisal firm with an extensive international network. 6. Future plan In the case where the Company or the subsidiary
licensed CPAs or of assistant auditors in such audit firm, do not hold shares of the company or its subsidiaries for which the applicant is the auditor; 3. I or a person with equivalent authority in the
audit of a listed Company? If yes, Please attach a disclosure checklist If no, describe how the firm ensures financial statements of listed companies are sufficient disclosed in accordance with accounting
Audit Firm Name: Subject: CLIENT ACCEPTANCE AND CONTINUANCE Prepared By: …………. Date: ……………….. CLIENT ACCEPTANCE AND CONTINUANCE: . Such policies and procedures provides reasonable assurance that the