category of private fund management which is a financial institution established under other laws or also conducting other types of securities business. Clause 11 In engaging in proprietary trading through

additional information and facilitate the SEC Office’s officials or assignees in conducting a site visit and inspection over the audit quality control system of the audit firm where I work for, for the benefit

of the relationship with clients (on-going KYC/CDD). Clause 9. In conducting the KYC/CDD process pursuant to Clause 8, securities company is required to perform the following:- (1) identify the

……………………………….…….………. Detail of such incident ……………………. (attachment) (if any) O No (5) Was removed from office of director, manager or person with managing power of other securities company under section 144 or section 145 of

3; (3) preventing and managing conflicts of interest, as specified in details in Chapter 4; (4) communicating with a client and providing services to the client , as specified in details in Chapter 5

/forwards/swaps etc.) …………………………………………………….. □ others……………………………………………… …………………………………………………….. 2.3 The applicant is under restriction and suspension in conducting derivatives business as a derivatives dealer

approved by high-level management. In this case, such system shall; (a) generate good control environment; (b) assess, administer and manage any risks which arise or may arisen from conducting business to be

and operating systems, as specified in details in Chapter 3; (3) preventing and managing conflicts of interest, as specified in details in Chapter 4; (4) communicating with a client and providing

company in the following matters: (1) Risk management oversight system. Policy and practices in managing risk arising from the undertaking of fund management business shall be prescribed in writing and the

issues for improvement (if any). 6. List of audit engagement clients in the previous accounting period and the associated fee For the purpose of conducting audit quality control system inspection, the