; (2) Confirmation statement; (3) The evidence of margin call in the case where the derivatives broker calls for a customer to deposit additional margin; (4) Account of derivatives trading of each
(confirmation statement); (3) evidence of margin call in cases where the derivatives broker calls for a customer to deposit additional margin; (4) account of derivatives trading of each customer. A derivatives
consultation to clients shall comply with the regulations under Chapter 4; (4) submission of evidence to confirm clients’ transactions shall comply with the regulations under Chapter 5; (5) provisions of
management relating to securities investment or securities analysis for at least three years within five years prior to the date of submission of documents or evidence as proof of having such experience; (3
securities analysis for at least two years within five years prior to the date of submission of documents evidence as proof of having such experience; (3) being a manager of the management company or holding
strategy of program trading provided that there shall be evidence on the client’s confirmation of the selection of such portfolio advisory or investment strategy of program trading ; (2) have an efficent
, having obtained sufficient and appropriate audit evidence, concludes that misstatements, individually or in the aggregate, are material, but not pervasive to the financial statements ; from ( 2.1.1
copy is required. (7) Photocopy of an evidence of certified public accountant. Signature of the applicant to certify true copy is required. (8) Photocopy of an evidence of registration as an auditor with
appropriate audit evidence and the possible effects are material, but not pervasive, resulting from: ( 2.2.1 circumstances beyond control of the entity (paragraph.........); ( 2.2.2 circumstances relating to
, having obtained an approval from the SEC Office, determined by the securities company association . Clause 3 A business operator shall prepare and store any document or evidence relating to investment in