fund supervisor of the juristic persons under the first paragraph shall have qualifications as specified in (2) and (3). In cases where branches of foreign banks or foreign life insurance companies
long term, such as damage on building or place of business or branches, a failure of information technology system, inaccessibility or unusability of building or personnel unable to come for work in both
September 2006. To clarify the provision under the first paragraph (3) “Financial Institution” means: (a) Commercial banks, branches of foreign bank licensed to undertake full branch commercial bank business
, investment or capital market product analysis, investment management, or managing branches of an applicant ; (c) duties concerning control, supervision, and administration of operation of business units, work
licensed CPAs or of assistant auditors in such audit firm, do not hold shares of the company or its subsidiaries for which the applicant is the auditor; 3. I or a person with equivalent authority in the
discussion and analysis Certification of Information Attachments: Attachment 1: Details of directors, executives, controlling persons and company secretary Attachment 2: Details of directors of subsidiaries
directors of subsidiaries Attachment 3: Details of the Heads of the Internal Audit and Compliance Units Attachment 4: Assets for business undertaking and details of asset appraisal Attachment 5: Unabridged
) Page Part 4 Certification of Information Attachments Attachment 1 Details of the directors, executives, controlling persons and company secretary Attachment 2 Details of the directors of the subsidiaries
1.3 Gain (loss) on Securities trading 1.4 Gain (loss) on Derivatives trading 1.5 Interest and dividend 1.6 Interest on margin loans 1.7 Share of profit of subsidiaries and associates 1.8 Others incomes
Securities and Exchange Commission on Approval of Auditors in the Capital Market B. The subsidiaries, associates, or joint ventures of the businesses in Clause 3, as well as the contract values or audit fee