shareholder(s) that have ultimate control of the audit firm? 2 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how the ultimate shareholder(s) delegate or
) 3. Certification of the Applicant Date ........ Month ........ Year ............... Dear Secretary-General of the Office of the Securities and Exchange Commission: I, ………(applicant’s name)………., a
obligations thereunder. Unless a party is able to offset its position before the settlement date, the seller of futures is obliged to make and the buyer is obliged to take delivery of the underlying asset of
contract with the derivatives dealer. Clause 13 8 A derivatives dealer shall provide the procedure to ensure that the clients acknowledge and understand the information and risks relating to derivatives
Reference / Guidance Notes Description A Audit methodology and procedures: 1 Does the firm use standardized audit manual, audit policies and procedures on all audit and assurance assignments? And does the
assigned to take direct responsibility for accounting supervision, the Company’s secretary and the representative for contact and coordination in case of a foreign company Attachment 2: Details of the
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
For the purpose of considering an application for approval as a foreign auditor in the Capital Market for Mr./Mrs./Miss …………………………………………... (applicant’s name) by the Securities and Exchange Commission
required to report violations or any significant abnormality to the person responsible for the information security incident management without delay; (3) put in place a disciplinary process to take action
. To contact and solicit an investor to become a counterparty of a private fund, the management company must take into consideration such investor’s investment policy, and offer an investment which is