which the auditor is attached as prescribed by the regulations summarized below: Individual Qualifications (1) being a certified public accountant whose license is still valid; (2) being a leader of an
whose license is still valid, being a leader of an audit firm or equivalent or being a partner of an audit firm or equivalent, having met the following audit experiences criteria; - having affixed
equivalent or being a partner of an audit firm or equivalent, having met the following audit experiences criteria; - having affixed signatures for giving audit opinions on financial reports of at least 2
prescribing that the auditor to be approved by the SEC must be attached to audit firms having audit quality control system in accordance with the prescribed standard. The rules and regulations on approval shall
with the SEC via the SEC Office in Form 90-6 attached herewith together with two copies thereof. In filing of application under the first paragraph, securities company shall file with the following
affixed the signature by the following persons: Any director who is authorized to affix his signature on behalf of the appraisal company in capital market; The lead appraiser approved who is an employee or
SEC, in 2010, had revised the rules on approval of auditors by prescribing that the auditor to be approved by the SEC must be attached to audit firms that have audit quality control system in accordance
; Clause 3 Securities company intending to apply for additional securities business licenses shall file an application with the SEC via the SEC Office in Form 90-6 attached herewith together with two copies
receiving the SEC’s recommendation. Securities business license in the category of securities finance business shall be in form attached herewith. Clause 6 Limited company or public limited company that has
limited company to undertake such business with the SEC Office, provided that such application shall be in form and attached with supplementary documents as specified by the SEC. Clause 3 In case where the