applicant personal information - foreign auditor (normal)

agent; (3) a mutual fund supervisor; (4) a private fund custodian; (5) a derivatives business operator; “claimant” means any person who is caused damage by the act of the respondent or any other person

supervisor; (4) a private fund custodian; (UNOFFICIAL TRANSLATION) - 2 - (5) a derivatives business operator; “claimant” means any person who is caused damage by the act of the respondent or any other person

private fund custodian; (UNOFFICIAL TRANSLATION) - 2 - (5) a derivatives business operator; “claimant” means any person who is caused damage by the act of the respondent or any other person assigned by such

draft prospectus for initial public offering of shares. The SEC's probe found that {X1} Company and {A} did not exercise due care in verifying relationships between the applicant and a company in the case

Securities and Exchange Commission (public agency) Rules, procedures and conditions (if any) for submitting an application and granting an approval: 12.1 The applicant must be a foreign auditor under

, procedures and conditions (if any) for submitting an application and granting an approval: 12.1 The applicant must be a foreign auditor; 12.2 The applicant must have the following qualifications as specified

apply) Documents Yes No N/A Reasons for No and N/A (1) Form 61-1 F Application for registration as a foreign auditor in the capital market. Signature of the applicant is required. (2) Applicant’s personal

securities or investment units. “major shareholder” means a shareholder or a beneficial owner of shares in the amount more than 10% of the total number of voting rights of the applicant. For the purpose of the

securities businesses.  The proposed revision covers the principles and the draft Ministerial Regulation for a new licensing scheme whereby an applicant could choose to solely apply for a specific license