financial statements of audit firm for the 3 recent years before filing the application. Signatures of the audit firm's leader and authorized director with audit firm's seal (if any) are required every page
registration with corporate registrar and shareholders' list. Signatures of the audit firm's leader and authorized director are required every page. Photocopy of financial statements of audit firm for the 3
. 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
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
also a team of knowledgeable and competent engagement partner and audit staff working together under a reliable audit quality control system of the audit firm. As such, the auditing must be carried out
insurance company licensed under law on commercial banking or law on life insurance, as the case may be, such applicant shall- (1) be able to maintain capital funds and set aside reserve capital in accordance
resembles the international supervisory framework. The audit quality control regulatory shall be performed at both individual auditor level and firm level. In order to enhance quality and reliability of the
of private fund management is a legal entity under Clause 2(1) to (5), but not a branch of foreign commercial bank or a foreign life insurance company licensed under law on commercial banking or law on
resembles the international supervisory framework. The audit quality control regulatory shall be performed at both individual auditor level and firm level. In order to enhance quality and reliability of the
applicant for securities business license in the category of investment advisory service is a branch of foreign commercial bank or a foreign life insurance company licensed under law on commercial banking or