Net Profit Your Responsibility* 1. 2. 3. 4. * Signing Partner, Engagement Partner, Engagement Quality Control Reviewer and etc. 4. Registration with an audit oversight authority 4.1 Are you currently a
; (5) having the study or research results that show the possibility of providing innovative financial services; (6) having no record of violating or failing to comply with the regulations or conditions
from the approval date; (5) having the study or research results that show the possibility of providing innovative financial services; (6) having no record of violating or failing to comply with the
oversight authority Are you currently a registered auditor in your home jurisdiction with an audit oversight authority? Yes No If yes, please state the – Name of the authority Your Registration number Contact
legal entity; (4) Being able to show that person who is director, manager or person with managerial authority being responsible for the applicant’s undertaking of derivatives business has qualifications
may affect the financial conditions or operations of the applicant; (3) Being able to show that at least one of its directors has work experience of no less than three years relating to gold; (4) Being
partner or equivalent affiliated with the audit firm; 2. I or a person with equivalent authority in the audit firm, the audit firm, other partners or equivalent, other licensed CPAs, or assistant auditors
research results that show the possibility of providing innovative financial services, including the research results on potential risks from the experiment; (6) having no record of violating or failing to
business value chain 3.2.1 Business value chain Describe the characteristics of the business value chain that show the relationship of the key stakeholders with the activities related to business operation
anti-money laundering authority as high risk business/ profession; (7) a client who is categorized as higher-risk categories by the anti-money laundering authorities or the Securities Industry