Appropriateness of selected accounting policies (paragraph number........) ( 2.1.2 Application of the selected accounting policies (paragraph number........) ( 2.1.3 Appropriateness or adequacy of disclosures in
Exchange Commission: For the purpose of applying for approval from the SEC Office for ………………………... (applicant’s name) ………………..., a registered auditor No…………, I, the head and the authorized person of the
associated persons who are counter parties of the Company. 6. General information and other significant information 6.1 General information Specify the following information on the issuer: (1) Name, head
purchasing or selling orders from customers outside its head office or branch offices unless otherwise specified by the Office; (7) purchase or hold shares, except: (a) those acquired in the course of
Attachment 3 Details of the head of internal control and compliance supervisor Attachment 4 Details of the asset appraisal Part 1 1 Executive Summary Summary of the Initial Public Offering Public Limited
terminated due to the unsuccessfulness of the mediation, as the case may be. If the claimant fails to notify the list of his selected arbitrators within such period of time, it shall be deemed that the
the said Act prohibits any securities company from taking purchase orders or sales orders from customers outside its head office or branch office premises, except the Office prescribes otherwise
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
kept at the intermediary ’s head office for at least five years as from the last day of the calendar year when the services thereof are provided outside the intermediary ’s offices in order to be
; (2) A securities operation unit, the securities company may arrange for the full-service branch office to share the securities operation unit with the head office or other full-service branch offices