the financial statements of the latest accounting year. (please use the table attached hereto). 11. In the case where the applicant has affixed signature in giving opinions on the auditing for less than

report with the Office on a monthly basis through Form Bor.Lor. 2 and Table Bor.Lor. 2/1 as attached to this Notification by the fourteenth day of the following month. (2) Report on margin accounts: Only

guidelines, the manual and the disclosure checklists available on the SEC website. Table of Contents Part 1: Business Operation Page 1. Policy and business overview 2. Nature of business 3. Rick factors 4

the Office of the Securities and Exchange Commission (“SEC Office”) prepare and submit the Audit Firm Profile and Details of the Audit Firms to which auditors are affiliated with the SEC Office. Table

line or business group in the table below. This shall include at least those contributing more than 10 percent of the total income in the profit and loss statement of the latest financial year. If the

”). Preparation and filing thereof should also take into consideration the guidelines, the manual or the disclosure checklist available on the SEC website. Table of Contents Page Part 1: Business Operation and

Internet trade clients, as defined in the table attached hereto. It should be required to monitor and analyze, based on the risk assessment of the organization, logs recorded from the use of critical

table of qualifications of applicants for approval for category A investor contact and category B investor contact attached hereto. The applicant for approval for category A investor contact shall be

related businesses and rules and regulations with respect to investor contacts as specified in the table of qualifications of applicants for approval for category A investor contact and category B investor

systems and user identification of internet trade clients, as defined in the table attached hereto. It should be required to monitor and analyze, based on the risk assessment of the organization, logs