, investors or capital market, the SEC Office may determine to submit thereof within the business day when such matter has been occurred; (b) in case of matters other than sub clause (a), the SEC Office shall

services in the particular circumstances This checklist reviews such policies and procedures of the firm. Sr. Particulars Reference /Guidance Notes Description A Client Acceptance: 1 Have there been any

matter which substantially affect the intermediary , investors or capital market, the SEC Office may determine to submit thereof within the business day when such matter has been occurred; (b) in case of

intermediary who has been rendered a waiver of appointing an independent director under the Notification of the Office of the Securities and Exchange Commission concerning Rules on Rendering a Waiver of

, investment consultant or investment planner has been granted and the period of such approval has not ended, the following rules shall apply: (a) in case the latter approval for such position has the scope of

the Securities and Exchange Act, the Provident Fund Act, or any rule prescribed thereunder, such dispute shall also have the following characteristics: (a) the dispute occurred not more than six months

(e); (2) bonds having high-risk or complex characteristics including: (a) hybrid securities with debt repayment period longer than 270 days as from the date on which hybrid securities have been issued

mutual fund had been given an approval by the Office in accordance with the rules, conditions and procedures as specified in the notification of the SEC.

, unless permission has been granted by the Office to open or close its office at any other hours or days.

to inform you that I have been resigned from ………………………….…(last audit firm’s name) since………………………. and transferred to work with……………………………(current audit firm’s name) since………………………… Yours Sincerely