the cause under Clause 4 (3), the derivatives business operator shall remove such executive from the position or from office within a necessary and reasonable period of time without delay. Clause 6
skill, care and diligence; (3) management and control An intermediary shall take reasonable care to organise and control its affairs responsibly and effectively, with adequate risk management systems; (4
opinions on by the auditor of the mutual fund and certified by the management company, within fifteen business days as from the dissolution date of the mutual fund; Where it is necessary and reasonable, the
notified promptly for all identified deficiencies in the quality control system. C Complaints and Allegations 1 Does the firm have policies and procedures designed to provide it with reasonable assurance
Audit Firm Name: Subject : ENGAGEMENT PERFORMANCE Prepared by Date ENGAGEMENT PERFORMANCE : Policies and procedures should be established to provide the firm with reasonable assurance that the work
shares without a clarification of the suspicious grounds under (b) or (c) to the SEC Office or with a clarification that does not contain facts or reasonable ground for refuting the suspicious grounds
a reasonable and necessary ground and that such securities trading is without the intention to seek benefits in the manner of exploiting the clients, or shall be able to demonstrate that there is a
person specified under Clause 3(1), in which case the consideration of the paid-up capital shall be in accordance with Clause 5; (2) having no reasonable ground to believe that its financial condition may
untrustworthiness; and (c) I hereby acknowledge that - 1. The SEC Office will list my name onto the Issuing Company’s Director and Executive Database only if there is no reasonable ground to suspect that I have any
businesses unless there is a reasonable ground for failure of such identification. (2) In case of a holding company, provide information on the shareholders of the subsidiary undertaking the core business