as investment advisor or derivatives investment advisor on the condition of not involving in the data collection or the data processing to publish advice on the website or electronic media, including
Approval of Auditors ; 5. I entirely understand the code of ethics for professional accountants and will perform audit work in compliance with the code; 6. I entirely understand the generally accepted
of Foreign Auditors in the Capital Market. 5. I entirely understand of the code of ethics for professional accountants and I will perform audit works complying with the code. 6. I entirely understand
shall be widely communicated to the relevant personnel of the intermediary in an easily accessible manner in order for such personnel to understand and be able to comply with such policy correctly; (2
and understand the structure, roles, duties and responsibilities of each unit in the organisation. In this regard, units should be arranged in accordance with such organisational chart. 2. There should
on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1) compilation and assessment of client information shall comply with the
collection or any other compensation to be collected from the securities issuer. Clause 5/1 ( In the case where the Office has considered that the applicant for a license under Clause 3 has the accurate and
services relating to capital market products . Division 1 Compilation and assessment of client information _____________________________ Clause 30 An intermediary shall compile and assess a client ’s
and means as determined by the intermediary , that they are assigned by the intermediary to provide services relating to capital market products . Division 1 Compilation and Assessment of Client
the audit firm’s or has been received from its clients; 4. I well acknowledge and understand the requirements in the Notification of the SEC Office regarding Approval of Auditors , and I am willing to