persons. Companies should arrange a call tree and a name list of customers, the main service providers and other relevant persons, including contact information, such as an office phone number, home phone
Securities and Exchange Commission; □ A limited company or a public limited company whose main principles are in the business of securities or financial instruments custody and of other businesses as approved
, registration fees, approval fees or operating fees; (3) the determination of scope and practices as regards the duties of the subcommittees and relevant officers under this Act; (4) the prescription of a
: ............................................................................................................................... 2. Starting Date of Operation: ............................................................................................................ 3. Details of the Company: 3.1 Scope of operation of the
country, identify the name of such stock exchange and whether or not it is the main stock exchange. 5.5 Financial institution with regular contact (only in case of debt securities offeror) Part 2 Corporate
and registered with the Office, whose main objective is to promote and develop securities businesses in the category of investment management; “Customer” means any person who authorizes a management
the purpose of compliance with this Notification, the SEC Office is empowered as follows: (1) issuing detailed Notifications under the scope of this Notification in order that any intermediary would
scope and description of delegated responsibilities of each position (job description). *** The number of experience years may be indicated in periods of time. **** For example, the Audit Firm has 3
post issuance reviews of selected engagements as part of its monitoring procedures? If yes, please provide us engagements review program and the scope of the review. B Evaluating, Communicating, and
areas to be satisfied by a management company: (1) The scope of operations of the permitted branch office as it deems appropriate; (2) The procedures to be made by the management company to ensure