audit firm, hereby certify and consent to the followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply
issues the following regulations: Clause 1. The followings shall be repealed: (1) Notification of the Office of Securities and Exchange Commission Re: Qualifications of Mutual Fund Supervisors dated 18 May
(effective date on _____________________ ) ( Form 69 – CIS annually update (effective date on _____________________ ) ( Form 69 – CIS material update (effective date on _____________________ ) The followings
undertake securities business in the category of private fund management; “Securities company” means the followings: (1) Management company; and (2) Securities company performing the duties of brokerage
abroad include the followings: 3.1 Information on the plan and scope of business operation, including the plan for seeking an approval from the relevant foreign regulator; 3.2 Information on the work
contract with service provider that should cover the followings: (1) Duties and responsibilities of service provider including the derivatives broker’s responsibilities and its clients on any act or omission
continue to provide the critical functions in such event of disruption. Clause 9. A securities company shall carry out the followings task at least once each year: (1) Testing and reviewing of the business
contacts. 4.3 Information on training and seminar to be filed with the Office Information to be filed with the Office shall at least contain the followings: (1) the course name; (2) the organizer name; (3
) all types of securities business license except the followings: (a) debt securities brokerage; (b) securities borrowing and lending business. (2)2 licenses for providing securities registrar services
2008. Clause 2. The followings shall be repealed: (1) The Notification of the Office of the Securities and Exchange Commission No. OrNor. 25/2544 Re: Arbitral Process dated 28 November 2001; (2) The