Securities Inspection Guidelines (Reference Materials and Forms)

Reference Materials

  1. Chart of Inspection Process Flow (PDF)

  2. List of Submission Documents (PDF)

Forms

Form 1

Inspection Order (PDF)

Form 2

Letter of Consent on Nondisclosure of Securities Inspection Information to Third Parties (Word, PDF)

Form 3-1

Request for Consent for Third-Party Disclosure (management companies) (Word, PDF)

Form3-2

Request for Consent to Third-Party Disclosure (other than management companies) (Word, PDF)

Form 4

Summary Sheet (PDF)

Form 5

Questionnaire (PDF)

Form 6

Off-Site Inspection Monitoring Sheet (Word, PDF)

Form 7

Opinion Submission Form (Word, PDF)

Form 8

Request for Withdrawal of Submitted Opinions (Word, PDF)

Form 9

Notification of Completion of Inspection (PDF)

*The above may be updated without prior notice.

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