specified period. If the applicant fails to comply or proceed as required, the Office shall deem that such applicant does not intend to apply for an approval to be listed in the register of person qualified
register of person qualified to be fund manager according to Clause 7 and Clause 8 shall not have prohibited characteristics as prescribed in the Notification of the Capital Market Supervisory Board
registration as a qualified fund supervisor, not have records of commission of offense under the laws governing the business operation of such persons, the laws governing anti-money laundering or any other laws
liabilities ” means total liabilities deducted by qualified liabilities . “ total liabilities ” mean: (1) all liabilities shown in the financial statement but not including the following liabilities: (a
on the register of persons qualified to be fund manager. In this regard, the management company shall appoint not more than one person from such register pursuant to the specific rules under Clause 7
stipulted by the SEC Office. “ general liabilities ” means total liabilities deducted by qualified liabilities ; “ total liabilities ” mean: (1) all liabilities shown in the financial statement but not
) “ general liabilities ” means total liabilities deducted by qualified liabilities . (5) “ total liabilities ” means (a) all of liabilities shown in the financial statement but not include the following
and Exchange Commission. (7)2 “ qualified liabilities ” means: (a) liabilities which have the remaining maturity period of more than one year as from the calculating date, only in the portion not
undertaking derivatives business and such person has qualified and not possessed any prohibited characteristics as stipulated by the Notification concerning personnel . Clause 4 In case an intermediary has
quartered ended Name of auditor Name of audit firm ( Audit of financial statements ( Review of financial statements · 1 . Clean opinion · 2 . Qualified opinion due to (select all that apply) ( 2.1 The auditor