(UNOFFICIAL TRANSLATION) (Updated 2015) 4. Certification of Leader of Audit Firm Date ........ Month ............ Year.......... To: Secretary-General Office of the Securities and Exchange Commission
public accountant 2. Applicant’s biodata and details 3. Certification from the leader of the audit firm 4. The audit firm’s information and relevant details 5. The audit firm’s certification and consensus
): ................................................................. (..............................................................) Leader of the Audit Firm: ........................................... (Signature
every page by the leader of the audit firm and authorized signatory of the audit firm. Department of Business Development 3) Certification of the Applicant via SEC Office Online Form Original: 1 copy
applicant; (3) Certification of the leader of the auditor firm; (4) Profile and details of the audit firm; (5) Cover letter for delivery of the evidentiary documentation related to the audit firm; (6) Copy of
) Certificate of Juristic Person Registration or Incorporation Document Original: 0 copy Photocopy: 1 copy Remark: (1) Sign to certify on every page by the leader of the audit firm and authorized signatory of the
leader of the audit firm and authorized signatory of the audit firm. - 3) Certification of the Applicant via SEC Office Online Form Original: 1 copy Photocopy: 0 copy Remark: Signature of the applicant - 4
capital market shall comply with the following rules: (1) being a certified public accountant whose license is still valid; (2) being a leader of an audit firm or equivalent or being a partner of an audit
/ [(the number of employees at the beginning of the period + the number of employees at the end of the period)/2] Position Names – Last Names Leader of Audit Firm 1. Persons with the highest responsibility
additionally: (a) the qualifications and prohibited characteristics of auditors excluding the rules concerning affiliation with an audit firm; (b) the additional duties of the leader of an audit firm; (c) the