identity and business reputation of the client’s principal owners, key management, and those charged with its governance. · The nature of the client’s operations, including its business practices
procedures appropriate to the size and nature of the firm? 4 Does the firm have access to current guidance materials regarding the applicable independence, integrity, and objectivity requirements? a. If “yes
relations or relationship by registration under the law in the nature of being parent, spouse, brother or sister, child or spouse of a child of an executive, a major shareholder, person with power of control
(“developer”) from the personnel who operate in the system administration (“system administrator”) in the production environment. In the case that duties cannot be segregated due to the size of the business
repealed. Clause 2 In this Notification: “ regulatory sandbox ” means a framework for experimenting and developing an innovation in a controlled environment to support provision of services related to
sandbox ” means a framework for experimenting and developing an innovation in a controlled environment to support provision of services related to capital market. “ approved person ” means a person who is
guidelines, the manual and the disclosure checklists available on the SEC website. Table of Contents Part 1: Business Operation Page 1. Policy and business overview 2. Nature of business 3. Rick factors 4
disclosure checklist for Form 56-1 as a guideline for preparing the information in Part 2.2 to Part 2.4 of Form 69-1 as most of the disclosed information is of similar nature. Contents Page Part 1 Executive
, shareholding structure of the entity, nature of business, place of incorporation, place of operating business, financial status, objective of transaction, as well as all documents concerning identification data
Part 1 Business Operation and Operating Results 1. Organizational structure and operation of the group of companies 1.1 Policy and business overview Provide an overview on the background and nature of