approval of the Office of the Securities and Exchange Commission Name Position Managing power Independence Full time (with / without) (yes / no) (yes / no
person who is responsible for supervising the investigation · Has sufficient and appropriate experience · Has authority within the firm ; and Is otherwise not involved in the engagement? 112
work for such persons to have full or partial managing power in the securities company.
Net Profit Your Responsibility* 1. 2. 3. 4. * Signing Partner, Engagement Partner, Engagement Quality Control Reviewer and etc. 4. Registration with an audit oversight authority 4.1 Are you currently a
……………………………….…….………. Detail of such incident ……………………. (attachment) (if any) O No (5) Was removed from office of director, manager or person with managing power of other securities company under section 144 or section 145 of
oversight authority Are you currently a registered auditor in your home jurisdiction with an audit oversight authority? Yes No If yes, please state the – Name of the authority Your Registration number Contact
Operational Control ---------------------------- Clause 6 The derivatives broker shall set up its organizational structure, and formulate its policies, scopes of authority, duties, and responsibilities, as well
the reporting plan specified in Paragraph 1(2)(d) of Clause 3; (6) supervising the operation to ensure compliance with the provisions of this Notification, including the governing laws or associated
issuer and those who have an opportunity to make use of such inside information ; (4) clear scope of authority , duty and responsibility of directors, executives and work units. Clause 7 A securities
partner or equivalent affiliated with the audit firm; 2. I or a person with equivalent authority in the audit firm, the audit firm, other partners or equivalent, other licensed CPAs, or assistant auditors