shall provide sufficient data or documentary evidence to ascertain the client’s investment objectives, knowledge, understanding and experience regarding securities investment for the purpose of

) “Department director” means any person who is responsible for the internal operation of a department in the company; (6) “Work experience” means work experience in a financial institution or other organization

number 3. Experience in capital markets Are you currently allowed by law to audit the financial statements of the public interest entities whose shares are traded in the main board of the foreign stock

appropriate experience and ability, and necessary authority, to assume that responsibility. If yes, is their appropriate experience and ability sufficient to identify and understand quality control issues and

investment in securities or derivatives in the manner of giving an opinion or sharing an investment experience through a website or electronic media occurs extensively in increasingly various forms, both in

services of ...................., as detailed as follows: Position * Responsibilities ** No. of Persons Experience in Auditing (year) *** Average Experience **** Employee Turnover (%) ***** Partner Senior

experience and authority? 3 Does the monitoring process required those performing the engagement or the engagement quality control review are not involved in inspecting the engagements? 4 Does the firm have

. (4) “Work experience relating to gold” means experience of working in the business relating to buying or selling gold or gold derivatives. Clause 2. An applicant for a license to undertake gold

is less than one percent of the total amount of the shares sold of that company; (9) being a person not having educational qualification, work experience or other qualification as specified in the

. Audit experience of the applicant (1) Total audit experience: ..................year(s) (1.1) Since................(DATE)..................to............................(DATE