member country executing the Memorandum of Understanding Concerning Cooperation and Exchange of Information on Cross-border Offers of ASEAN Collective Investment Schemes to Non-retail Investors or the
rights; (9) the provisions regarding the expenses for the fund’s operation; (10)3 the provisions regarding the general meeting or member meetings classified by investment policies or employers in cases
of the country), hereby certify follows; 1. My immediate family member, including spouse (or equivalent) and dependent, and I do not hold any share of my audit clients and or its related entities. 2
related person or close relatives of the same; (3) if the common shareholder to be allotted the units is a major shareholder, the units shall be allotted proportionally to their existing shareholding but
opinion by an auditor approved by the Office, and such auditor must not be a director, staff member or employee of such securities company. The auditor of the private fund must adhere to the code of conduct
system for financial and fund accounting that are effective and able to examine the correctness in the operation. Guidelines 1. There should be operating system for member registry which is 1.1 An internal
: _____________________________________________ 6) Is the foreign ETF subject to supervision of Home Regulator that is a member of International Organization of Securities Commissions (IOSCO)? Yes No If “No”, please specify
Relationship between your firm and the network (e.g. full member, associated firms) Does the firm fully apply the policies procedures and audit methodologies of the network? Yes No 3. Registration with an audit
member is entitled to one vote. In the event of a tied vote, the chairman of the meeting shall have a casting vote. SECTION 13. The subcommittee members shall receive remuneration as specified by the
name ] filed on Position in the Company Director [ ] President [ ] President and Independent Director [ ] President Independent Director and Member of Audit Committee [ ] Director [ ] Independent