. Audit experience of the applicant (1) Total audit experience: ..................year(s) (1.1) Since................(DATE)..................to............................(DATE
solely item separate such items solely and demonstrate subsequent to the item No. 2.5.4. 3. Income (Loss) before income tax means total income deducted by total expenses before deducting income tax and
separate disclosure in (b). In cases where an independent director also holds the same position at the parent company or a subsidiary or subsidiaries of the same level, disclose the total remunerations
........ Year ............. Year ............. Year ............ Total assets Total liabilities Shareholders’ equity Total income Cost Net profits Earnings per share (EPS) Debt/equity ratio (D/E ratio) Return on
has been activated. In the case where a licensee has obtained more than one license, the licensee shall pay the total fees of all activated licenses collectively at the same time. Clause 4 The licensees
_____________________________________________________ ________________________________________________________________________ 16) Number of years the CIS Operator has managed funds : _________________ Total assets under management (latest available
private fund assets; □ (3) Operation system that allows the custodian to operate efficiently shall include at least the following: □ (3.1) System to separate client’s assets from custodian’s assets, safe
years; 1.1.5 Name and location of the head office, type of business, company registration number, telephone number, facsimile number, the Company’s website (if any), the number and type of the total
-five percent of the total shares with voting right; (o) a foreign investor of the same characteristics as those under (a) to (n) mutatis mutandis ; (5) “ retail client ” means a client other than
standard. Such units shall undertake independent operation and be independent from other units. Clause 6. A securities company shall separate the units and personnel whose duties , responsibilities, or