Attachment 3 Details of the head of internal control and compliance supervisor Attachment 4 Details of the asset appraisal Part 1 1 Executive Summary Summary of the Initial Public Offering Public Limited
the characteristics of their opinions). 11.3 Heads of Internal control and compliance (1) Identify the head of the internal control unit and that of the compliance unit (if any); In case of outsourcing
Exchange Commission: For the purpose of applying for approval from the SEC Office for ………………………... (applicant’s name) ………………..., a registered auditor No…………, I, the head and the authorized person of the
of Contents Page 1. Audit Firm profile 1 2. Network firms of the Audit Firm 4 3. Internal management of the Audit Firm 5 4. Inspection results on quality control system by other agencies (if any) 5 5
operating systems have been prepared for the branch office: (a) internal control system that shows intercommunication between the branch office and the head office; (b) operating system to prevent the use of
management Ο private fund management Ο other, (please specify)…………….. 1.2. Name of applicant ………………………………………………………………… 1.3 Address of head office
, executives, employees and others 8. Report on key operating results related to corporate governance 28 9. Internal control and related party transactions 33 Part 3: Financial Statements 36 Part 4
3.2 Investment management system 3.3 Back office supporting system 3.4 Compliance system 3.5 Documentary preparation and record keeping system Chapter 4 Internal Control System Chapter 1 Organisational
internal control or the compliance and information management system, nor being in the process of amending thereof, unless granted an exemption from the SEC Office. (Details of the matters subject to
shareholder(s) that have ultimate control of the audit firm? 2 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how the ultimate shareholder(s) delegate or