exchange? Yes No If yes, please specify the name and country of the stock exchange Do you have any experience relating to the audit of the financial statements of the public interest entities whose shares
in the firm Address City State Postcode Country E-mail address Telephone number Fax number Does your firm belong to an international network ? Yes No If yes, please state the – Name of the network
: _____________________________________________ 6) Is the foreign ETF subject to supervision of Home Regulator that is a member of International Organization of Securities Commissions (IOSCO)? Yes No If “No”, please specify
Fund Any other type, please specify __________________________________________ 6) Is the NRI CIS a sub-fund of an umbrella fund? Yes No If “Yes”, please state the name of the umbrella fund
Capital-Guaranteed Fund Any other type, please specify __________________________________________ 6) Is the ARFP Passport Fund a sub-fund of a Regulated CIS? Yes No If “Yes”, please state the name of the
____________________________________________ 4) Is the Hong Kong Covered Fund a sub-fund of an authorised CIS? Yes No If “Yes”, please state the name of the authorised CIS
apply) Documents Yes No N/A Reasons for No and N/A (1) Form 61-1 F Application for registration as a foreign auditor in the capital market. Signature of the applicant is required. (2) Applicant’s personal
firm’s business plan. If yes, please describe 2 How does the firm conduct the estimation of personnel needs? 3 How does the firm deal with the staff turnover in busy season? B Recruitment 1 Does the firm
firm use specific audit manual for special industries of clients? If yes, Is the audit manual: (a) Commercially Available? (b) Produced by an international firm of which the firm is a member? (c
assign their authorization to the CFO? 3 Whether the firm has designated a Quality Control partner who takes ultimate responsibility for the firm’s QC system? If yes, Does the firm leadership provide the