Normal Approval Applicant’s personal record and firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of

to inform you that I have been resigned from ………………………….…(last audit firm’s name) since………………………. and transferred to work with……………………………(current audit firm’s name) since………………………… Yours Sincerely

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

1 Applicant’s personal record and audit firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of this

any prohibited characteristics as specified in the Notification of the Securities and Exchange Commission on prohibited characteristics of securities business personnel. When it appears that any

controlling its business by mean of maintaining capital adequacy and capital reserve as prescribed by related rules. Provided that, after submitting an application, if it appears that the applicant can not

. In case it appears to the Office that the investment in securities or the trading in derivatives by any derivatives broker violates or does not comply with this Notification or the guideline set by the

informs you that the AMLO, the core agency with a duty to supervise matters concerning money laundering, has issued rules with details whereby intermediaries are required to establish a client acceptance

guidelines specified for implementation in accordance with this notification. Clause 9. In case where it appears to the SEC Office that any derivatives broker violates or fails to comply with this notification

necessity prior to the end of such period of time. Clause 4. In the case where there appears later a change of any material information provided in the application filed with the Office, the securities