, complete and updated records of assets of clients. In case of making correction to any record, the securities company shall complete such correction within the same working day when the cause of correction
specific information regarding work place location, time period of work, position, scope of work and responsibility, and proportion of time working for asset custody function to the total time of working
being representative of such person, and so on: O yes (please specify in detail) …………………………; O no; 1.3 Working in the position applied for approval: O full time O part time 2. Personal information in
client. Nevertheless, the amendment process should take less than 30 days as of the changing date. In the case where the derivatives broker deposits or invests the segregated asset of client with financial
up audit file in case of electronic working papers? 4 Does the firm have policies and procedures for the documentation of complaints and allegations and the responses to them? 119
provide such information to clients which shall be opened for service at least throughout the working hours of the intermediary. (2) promote or dessiminate information on the arrangement under subclause (1
establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent
certified public accountant No.………………..., working with ………….(name of the audit firm)…………., hereby certify as follows: 1. My immediate family members, including spouse and minor children, and I do not hold any
I, Mr./Mrs./Miss ………………………. ……(applicant’s name), certified public accountant number ………………... working with ……………………………….(name of audit firm’s) an audit firm incorporated in …………………………………...…….. (name
which shall be opened for service at least throughout the working hours of the intermediary . (2) promote or disseminate information on the arrangement under subclause (1) to clients; (3) visibly reveal