derivatives investment management company to make investment decisions for seeking benefits from derivatives for clients ; “ member of fund investment committee ” means a member of a committee which is
investment decisions for seeking benefits from derivatives for clients . “ member of fund investment committee ” means a member of a committee which is appointed or assigned by a fund management company to
of the country), hereby certify follows; 1. My immediate family member, including spouse (or equivalent) and dependent, and I do not hold any share of my audit clients and or its related entities. 2
or person who may have conflicts of interest that may impede the exercise of independent judgment, and any relationship that causes the inability to freely give comments on the operation of the
opinion by an auditor approved by the Office, and such auditor must not be a director, staff member or employee of such securities company. The auditor of the private fund must adhere to the code of conduct
system for financial and fund accounting that are effective and able to examine the correctness in the operation. Guidelines 1. There should be operating system for member registry which is 1.1 An internal
: _____________________________________________ 6) Is the foreign ETF subject to supervision of Home Regulator that is a member of International Organization of Securities Commissions (IOSCO)? Yes No If “No”, please specify
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
member is entitled to one vote. In the event of a tied vote, the chairman of the meeting shall have a casting vote. SECTION 13. The subcommittee members shall receive remuneration as specified by the
name ] filed on Position in the Company Director [ ] President [ ] President and Independent Director [ ] President Independent Director and Member of Audit Committee [ ] Director [ ] Independent