to comply therewith in all respects. In this regard, I would be pleased to provide additional information upon the SEC Office’s request for the benefit of the application consideration and the

: September 2019 2 Contents 1. Introduction 3 2. Definition 4 3. Guidance on ACMF Pass Framework 3.1 ACMF Pass overview 5 3.2 Permitted activities 6 3.3 Application process 9 3.4 On-going obligation 9 3.5

• Application controls 2 Why do we need to audit IT system? • Highly dependent on IT system • The companies with high overall IT risk assessment tend to have more accounting errors (Grant et al. 2008) • Li et al

of Units of Foreign ETF ------------------------- Division 1 Filing of Application for Examination -------------------------- Clause 3 Any person intending to request an examination of characteristics

reference. Notification of the Security and Exchange Commission No. Sor Jor. 41/2559 Re: Application for and Approval of Offer for Sale of Newly Issued Shares By virtue of Clause 21 of the Notification of the

. Maintenance of status. In order to ensure that all parties concerned understand and duly comply with the guidelines, the Office hereby offers clarification regarding the consideration of the skills and

status. In order to ensure that all parties concerned understand and duly comply with the guidelines, the Office hereby offers clarification regarding the consideration of the skills and knowledge based on

highlight sheet (required only for an application of a feeder fund); and (g) Other supporting documents (if any). *As provided under paragraph 39 of the SEC Circular, applicants shall request the SFC to

Microsoft Word - 1_Company Account 3-%0@ˆ5"ˇ_@˙%5H"ˇA˙%_20211124 - kdraft V2.docx 1 Application for Registration / Change of Information in Company Account Date

Securitization Project. In the case where the applicant intends to request a waiver of the regulations under this Chapter, the applicant shall submit an application for the waiver 2 Amended by the Notification of