that of the subsidiaries for the Company. 2. Risk Management 2.1 Risk management policy and plan Describe the policy, operating framework and organizational risk management plan to demonstrate that the

the audit firm …………….…... Note: Signatures of the head and the authorized person of the audit firm are required, together with the audit firm’s seal (if any). Form 61 – 2

an audit firm ………………………………………….. Note : Signatures of the audit firm’s leader and authorized director and the audit firm’s seal (if any) are required.

director with audit firm’s seal (if any) are required every page. Document Checklists for Normal Applicants (Please mark X for all that apply) Documents Yes No N/A Reasons for No and N/A (1) Form 61-1 F

plan and report. In granting an approval under Paragraph 1, the SEC Office may impose additional requirements on the intermediary on a case-by-case basis. Clause 41 An intermediary shall prepare a report

undertaking; and; (c) allow its business to be conducted with fiduciary duties. (2) determine clearly and harmoniously the mission, strategy, policy and operational plan of the company and its business units

firm’s seal (if any) as well as affix signature on every page of the Form of audit firm Profile and Details. In this respect, if the authority to affix signature on the Form of audit firm Profile and

shall be explained in terms of a 3-5-year business plan (represented in figures or otherwise) and a progress report on the implementation of the operation according to the goals shall be explained in the

services to clients with details covering the operation specified in Clause 5; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuing

communicating and providing services to clients with details covering the operation specified in Clause 4; (d) having a plan to report the results of the experiment and progress of service provision to the SEC