entities; 3. I am not an officer or employee of my audit clients or its related entities; 4. I have characteristics and qualifications that meet all criteria in the Notification of the SEC Office regarding
employee of my audit clients and or its related entities. 4. I have qualifications that meet all criteria in the Notification of the Office of the Securities and Exchange Commission No. 30/2558 Re: Approval
designated partner with the required authority and resources and take responsibility for the adequacy of firm’s procedures? 4 For firms without designated Quality Control partner, do the principals meet
pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of
the seller to compensate the purchaser in the case where the delivered goods do not meet the standards stipulated under the contract shall not be treated as permitting the party having the obligation to
: 1. roles and responsibilities of the cloud provider and the liabilities to the intermediary in the case that the cloud provider fails to comply with the agreement;. 2. operating procedures that meet
are allowed by law to invest; (3) giving advice through radio programs, television programs, newspapers or other print media in such ways that meet all of the three following conditions: (a) giving
meet the period specified in the second paragraph, and the Office does not notify the result of consideration, or does not order to the securities company, it shall be deem that the Office approves the
analysis of securities value; (e) Knowledge on enhancement of supporting skills or level of service quality to customers (soft skills) such as customer advising technique, etc. 2.2 Knowledge on rules
management company; or a management company is unable to continue to meet the criteria set out under Clause 5, the Office shall have the power to instruct the branch office to close temporarily or permanently