. Opinions of the executives on the audit quality control in the previous accounting period 7 6. List of audit engagement clients in the previous accounting period and the associated fee 7 7. Safeguards

that are associated with securities borrowing and lending business complied with this Notification and to extend period of time in maintaining information and documents that are related to the custody of

the businesses operated by the Company or the group of companies which comprises the Company, its subsidiaries and associated companies being operated or to be operated, as the case may be. In this

site for supporting continuity of operation. Such alternative site should not use the same source of infrastructure as the main office, should have a location distant from the main office sufficient for

demonstrate items of investment in net value after adding or deducting with the value adjustment reserve accounts and the reserve for depreciation of investment fund. 5. Investments in subsidiary and associated

evaluation of the outsourcee , review of the outsourcee ’s qualifications, and provision associated with the use of services to ensure mitigation of risks from the outsourcee ’s access to the organization’s IT

Relationship between your firm and the network (e.g. full member, associated firms) Does the firm fully apply the policies procedures and audit methodologies of the network? Yes No 3. Registration with an audit

Associated with Failure to Offset Position Should the client be unable to offset its derivatives position before the settlement date due to unfavourable market conditions, e.g. illiquidity, trading halt in the

approved person is in compliance with this Notification and the governing laws or associated regulations. Clause 6 The SEC Office shall have the authority to revoke an approval in the following conditions

approved person is in compliance with this Notification and the governing laws or associated regulations. Clause 5 The SEC Office shall have the authority to revoke an approval in the following conditions