the rules and the time specified by the Office. Such publications or disclosure shall be displayed in a prominent place at the office of such securities company. A report together with a copy of such

company should arrange an information management system according to the following guidelines: (1) putting in place an efficient information management system that is capable of processing accurate and up

each accounting period of six months. Such publications shall be posted in a prominent place at the office of such securities company, published in at least one local daily newspaper, and one copy shall

prevent leakage of information among work units and personnel, risk management, operational management, and internal audit and internal control are put in place, so as to efficiently accommodate the

demonstrate that there are systems on the appointment of a custodian agent in place as follow: (1) System for selection a custodian agent to ensure that the custodian agent has a system ready for taking assets

insufficiently allocated at a specified level; (3) establishment of policies and measures on information security under Clause 8 and Clause 9. Clause 6 An intermediary shall have in place information technology

E-mail address Telephone number Fax number Mobile phone number 2. Principal place of practice Firm Name Position in the firm Address City State Postcode Country E-mail address Telephone number Fax

such cessation of business or transaction takes place and such securities company must not have any pending report. Such exemption shall desist when the securities company has resumed its business

: _________________________________________________ 11) Home Economy of CIS Operator: _________________________________________ 12) Home Regulator of CIS Operator: ________________________________________ 13) Address of principal place of business

appropriate consultation took place for difficult or contentious matters? If yes, Please describe the policies and procedures. If no, How does the firm ensure that the difficult or contentious matters have been