, Certification and Consent of the Company's Director and Executive (Form 35-E1) Letter of Consent to Disclose Information (Inspection of the director and executive's qualification on the company's request) (Form
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
specified by the Civil Sanction Committee, such offender must sign a letter of consent. After the offender has made a payment of pecuniary sanction in full, the right to institute a criminal prosecution shall
loan, a loan limit and conditions of such credit shall be specified, and there shall be a statement conveying the client's consent to assign the private fund management company to arrange such matter
loan, a loan limit and conditions of such credit shall be specified, and there shall be a statement conveying the client's consent to assign the private fund management company to arrange such matter
information to restructure the contribution in such conditions as may be beneficial to the executives. The purchase date must be clearly specified in order to avoid any doubt whether internal information is
consent letter of the audit firm (Form 61-2); Period of Approval Validity : not over five years per period 2.1.2 Qualification of Approved Auditor An auditor to
shall, upon the applicant’s consent, enter into the applicant’s place of business or premises or any place necessary for inspecting the applicant’s financial condition, business operation, assets or any
Intermediaries Reporting Requirement Weekly Reports Weekly Report on the Purchase of High Turnover Securities by Individual Clients (SEC Circular SEC. Thor. 1/2547) To be filed within seven days of the
examination of purchase or redemption of investment units. (2) Transfer of investment in investment units, as well as the benefits thereof from one LTF to another LTF, shall be completed within five business