estate or leasehold right of Property Fund for Solving Financial Institution Problems or Property and Loan Fund; (5) “Register of Persons Qualified to be Property Fund Manager” means the list of persons
. (2) “Fund Manager” means mutual fund manager or private fund manager; (3) “Register of Persons Qualified to be Fund Manager” means the list of persons approved by the Office of the Securities and
. ------------------------------- The Office of the Securities and Exchange Commission Notification of the Office of the Securities and Exchange Commission No. OrNor. 3/2544 Re: Registration of Persons Qualified to Be a Mutual Fund
the audit firm who has an influence on the applicant’s giving of opinions are not employee or worker of the company or its subsidiaries for which the applicant is the auditor; 5. The audit firm does not
power to make decisions on the company’s operation on behalf of the board of directors; “Register of Persons Qualified to be Fund Manager” means the register of persons who are approved by the Office of
undertaking derivatives business and such person has qualified and not possessed any prohibited characteristics as stipulated by the Notification concerning personnel . Clause 4 In case an intermediary has
. Any custodian who has been registered as a person qualified to be a mutual fund supervisor and has been approved by the Office for custodian agent appointing system for a mutual fund, such custodian
quartered ended Name of auditor Name of audit firm ( Audit of financial statements ( Review of financial statements · 1 . Clean opinion · 2 . Qualified opinion due to (select all that apply) ( 2.1 The auditor
income is limited to income in relation to the business operation. The intermediary under Paragraph 1 who is qualified and has given the notice of intent to the SEC Office under the Notification of the
organization and worker of securities company’s. Such measure shall, at least, having measurement protecting to access internal information between organization and worker who have opportunity to know any