exchange Earnings from operation before change in operating assets and liabilities Operating assets (increase) decrease Long-term deposits at financial institutions Securities purchased under reverse
is investing in an infrastructure asset which is the right to receive the future income or the right under the future income sharing agreement under Clause 1(3) (c) and the fund is not the sole
sole proprietor, please state the arrangements made to conduct an EQCR 11 Has the firm established policies and procedures setting out the criteria by which all other audits and reviews of historical
) .............................................., telephone: ........................ , facsimile:............................... If the Audit Firm does not incorporate and not operate as a sole entity, please specify the name and address of its network firm
managed by a management company. “Unit price” means a selling price or redemption price of investment units. “Price compensation” means an increase or decrease in the number of investment units of any
effect on businesses of securities company. In this case, in order to increase confidence of using back office services from service provider, the duties of securities company in arranging for these system
the Office shall be positive. In case where the securities company increase its paid-up capital after the issuance of the latest financial statement, such increasing shall be calculated in the
shall be positive. In case where the derivatives broker increase its paid-up capital after the issuance of the latest financial statement, such increasing shall be calculated in the shareholder’s equity
Office uses to increase or decrease the weight in considering the facts in general: (a) the involvement of a person in the prohibited characteristics such as being a principal, an user or a supporter, etc
increase or decrease of credit limit suitable for clients’ repayment ability, and updating clients’ information and reviewing each client’s credit limit at least once a year; (3) appointing a committee to