. Additionally, the firm consents to audit quality inspection carrying out by inspectors of the SEC Office; 2. I certify that if an auditor of the audit firm has been registered with the SEC Office, the audit firm

International Standard on Quality Control 1 (ISQC1) issued by the International Federation of Accountants (IFAC). Additionally, the firm consents audit quality inspection carrying out by inspectors of the SEC. 2

Office of the Securities and Exchange Commission. Clause 2. In carrying out the securities borrowing and lending business, the business operator shall, whether acting as the borrower or its agent or as the

additional information and facilitate the SEC Office’s officials or assignees in conducting a site visit and inspection over the audit quality control system of the audit firm where I work for, for the benefit

necessary for carrying out critical activities ; “ critical information systems ” means information systems which support the operation of the critical activities , for example, trading systems, back-office

of the relationship with clients (on-going KYC/CDD). Clause 9. In conducting the KYC/CDD process pursuant to Clause 8, securities company is required to perform the following:- (1) identify the

category of private fund management which is a financial institution established under other laws or also conducting other types of securities business. Clause 11 In engaging in proprietary trading through

/forwards/swaps etc.) …………………………………………………….. □ others……………………………………………… …………………………………………………….. 2.3 The applicant is under restriction and suspension in conducting derivatives business as a derivatives dealer

approved by high-level management. In this case, such system shall; (a) generate good control environment; (b) assess, administer and manage any risks which arise or may arisen from conducting business to be

issues for improvement (if any). 6. List of audit engagement clients in the previous accounting period and the associated fee For the purpose of conducting audit quality control system inspection, the