communicating the results of each engagement. It should also cover consultation during the course of engagement. Following is the checklist that will help to assess engagement performance of the firm. Particulars
C or is in a process of applying for such license. Clause 9 An applicant shall be granted a derivatives business license type Sor-1 only upon meeting the following qualifications: (1)4 having paid-up
Operating Results 1. Organizational structure and operation of the group of companies 3 2. Risk management 12 3. Business sustainability development 13 4. Management discussion and analysis (MD&A) 17 5
whichever name of position of such person is called; “investment consultant” 9 means a person giving investment consultation to investors, relating to solicitation for investment or providing consultation for
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
information 16. Management discussion and analysis Part 3 Information on the offer for sale of securities 1. Details of the securities being offered for sale 2. Transfer restriction of the securities being
date of approval by the general meeting of the shareholders but not later than four months from the end of such financial year, unless otherwise specified by the Office.
the designated matters. SECTION 12. At least half of the subcommittee members shall form a quorum. In the subcommittee’s meeting, if the chairman is not present at the meeting or is unable to perform
) providing additional consultation involving feature, risk and return of the investment or transaction for the client ’s reviewing or reconsidering if the client insists to invest. After giving additional
ensuring that the services provided to investors would comply with the regulations relating to providing investment consultation and providing services relating to trading investment units, including the