”)? Yes No If you answered “Yes” please skip to the question number 4.5 4.3 Is the audit oversight authority you registered with in the country that is recognised by the European Commission as equivalence
promissory notes issued, accepted or given aval by financial institutions and held by the company for payment of short-term encumbrance rather than for investment or other purpose such as on call promissory
International Forum of Independent Audit Regulator (“IFIAR ”)? Yes No Is the audit oversight authority you registered with in the country that is recognised by the European Commission as equivalence country in
Approval of Auditors ; 5. I entirely understand the code of ethics for professional accountants and will perform audit work in compliance with the code; 6. I entirely understand the generally accepted
business and being unrevealed to public, acknowledged by the intermediary , or its directors, executives or other personnel; (3) receiving or being going to receive reward or other benefit, whether in form
of the skills and knowledge in relation to the performance of duty as investor contact using three criteria being 1. Participation in activities accepted by the Office, 2. Further education and 3
seminars organized either by securities companies or training institutes accepted by the Office; (2) Being a speaker, lecturer, full-time or guest instructor at universities accepted by Office. 1.2 Scope of
applying for approval using similar qualifications of investor contacts approved by or registered with any foreign regulatory organizations accepted by the Office, the application shall be submitted by the
; (2) entering into transactions by exploiting information, relevant to its business and being unrevealed to public, acknowledged by the intermediary , or its directors, executives or other personnel; (3
rules, conditions, and procedures for appointment and conduct of fund manager; (9) “Training Institute” means training institutes accepted by the Office; (10) “Unit-linked life insurance policy” means an