whole or in part, to manage the business of the securities company only with the approval from the Office. In cases where it later appears that the persons under the first paragraph have the prohibited

obligations with the intermediary and having been segregated clearly. Chapter 1 Scope of Proceeding _________________ Clause 4 For the purpose of debt repayment in the capital market as a whole and for a client

well as maintaining the integrity of the capital market and the derivatives trading system as a whole. Clause 3 In setting the organizational structure, operating system and operational control under

its business with honesty, fairness and integrity by strongly being concerned about the market integrity as a whole; (2) skill, care and diligence An intermediary shall conduct its business with due

the following acts: (1) establish the procedures for the preparation, monitoring and supervision of reporting to ensure that reporting is complete, accurate and timely; (2) require that reporting must

that are complete, clear and enforceable by law and sufficient for the fund to operate or to procure the benefit upon. (b) arrange for an appraisal on the infrastructure asset in accordance with the

Audit Firm Name: Subject : Monitoring Prepared by Date Particulars Reference /Guidance Notes Description A Monitoring the Firm’s Quality Control Policies and Procedures 1 Does the whole firm perform

Division 4: Register and Transferability of Chapter 2: Issuance of Securities or Section 88, in whole or in part. SECTION 33/2.5 In case of an offering for sale of newly issued securities in the category

of Section 6; (3) surcharges pursuant to the third paragraph of Section 10; (4) donated assets; (5) assets derived from investments or interests incurred from assets of the fund; (6) the whole amount

........ Year ............. Year ............. Year ............ Total assets Total liabilities Shareholders’ equity Total income Cost Net profits Earnings per share (EPS) Debt/equity ratio (D/E ratio) Return on