the date of the case is deemed final. Clause 3 A securities company shall proceed with a customer complaint in the following manners: (1) proceed to solve the problem described in the complaint rapidly
the duty of a director, a manager or a person with power of management, or an advisor: (1) being or having been a bankrupt; (2) having been imprisoned by the judgement of a court which is final for an
person. [ ] Yes [ ] No (3) I have been denounced by the SEC Office or have been tried in any criminal proceedings resulted from denunciation by the SEC Office or was imprisoned by the court’s final
proceedings to the solution is deemed final, unless otherwise specified by the Office. Clause 5 This Notification shall come into force from 1 December 2005. Notified this 14th day of November 2005 (Mr
……………………………………………………… By (name of the organization)...…………….(attachment)(if any) O No 2.2 For the past 3 years prior to the application filing (1) Was imprisoned by final judgement in offence against property committed with
promulgation of this Notification is to improve forms for financial statements of securities companies and detailed explanations to be in compliance with accounting standards revised by Federation of Accounting
procedures. E Engagement documentation: 13 Has the firm established policies and procedures for engagement teams to complete the assembly of final engagement files on a timely basis after the engagement
competitive, this Notification is issued to improve the rules regarding permission to establish branch offices so as to ensure that management companies are able to expand their business through opening of
be an executive of a licensed securities and derivatives business, fill in every part; Part 1 6.1 Being or having been a bankrupt: O yes O no 6.2 Having been imprisoned by a final judgement of the
person; (5) not being accused or proceeded in the criminal case by the authorized agency under its law, or has a final judgment of offences in operating derivatives business without license or registration