removal of the director of the company (d) Changes in the capital structure of the company e.g. increase and reduction of paid-up capital, offering of shares without pre-emptive right, debt restructuring
, please provide us the results and check whether there is any corrective action for negative result. E Assignment of Engagement Teams 1 Does the firm have policies and procedures to monitor the workload and
preparations for economic, social and environmental changes, which will lead to the increase in opportunities and competitiveness. The Company may provide a brief description as deemed appropriate. In addition
which case specify whether the assignment is at least based on the shareholding percentage and whether or not the Company’s rules and guidelines require an approval from the board of directors, and by
securities underwriter after an offer for sale of the underwritten securities so that the underwriter shall be able to allocate shares in excess of the underwriting amount. Such proceeding will increase the
exchange Earnings from operation before change in operating assets and liabilities Operating assets (increase) decrease Long-term deposits at financial institutions Securities purchased under reverse
there or have there been any principals or staff seconded on a “loan staff assignment” i.e secondment If so what are their roles at the client – are/were they in management positions? 7 Are there are any
managed by a management company. “Unit price” means a selling price or redemption price of investment units. “Price compensation” means an increase or decrease in the number of investment units of any
effect on businesses of securities company. In this case, in order to increase confidence of using back office services from service provider, the duties of securities company in arranging for these system
the Office shall be positive. In case where the securities company increase its paid-up capital after the issuance of the latest financial statement, such increasing shall be calculated in the