in the category of investment advisory service; (3) be able to show that its human resource will be prompt and adequate with a view to responsibility for investment advisory service. Where the
responsibility for private fund management. Directors, managers and persons with managerial authority who are responsible for managing private fund for legal entity under the first paragraph shall also have
to responsibility for mutual fund management. Clause 4 Any person holding more than ten percent of total shares sold of newly established limited company or public limited company under Clause 3 shall
three years; (4 ) a profi l e and relevant details of the audit firm; (5 ) a certification and consent letter of the audit firm (Form 61-2); Period of Approval Validity : not
the category of private fund management; (6) be able to show that its human resource will be prompt and adequate with a view to responsibility for private fund management. Directors, managers and
. Form 61-1 (Application for Approval of Auditor) .pdf file | .doc file 2. Form 61-2 (Certification and Consent of Audit Firm) .pdf file | .doc file 3. Form 61-3 (Notification for Change of
Responsibility Complaint Handling Procedure Samples of Documents or Evidence Matters under Supervision of Other Laws Whistleblower Inquiries / Suggestions SHARE : For More Information ContactUs SEC Complaint
> Complaints / Whistleblowers > Matters under the SEC Responsibility Contact us SHARE : Detail Content SEC Complaint Center Matters under the SEC Responsibility SEC Complaint Center can assist you with
, Executives, Auditors, Plan Preparers and Plan Administrators (Form 59) Information, Certification and Consent of the Company's Director and Executive (Form 35-E1) Letter of Consent to Disclose Information
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