exemption has been granted by the SEC; (4) being a director, a manager or a person with power of management of any other securities company; (5) having been removed from a position of chairman, director or

……………………………….…….………. Detail of such incident ……………………. (attachment) (if any) O No (5) Was removed from office of director, manager or person with managing power of other securities company under section 144 or section 145 of

been removed from a position of director or manager in accordance with Section 144 or Section 145 or in accordance with the provisions of other laws; (5) Being subject to receivership by a court order

…………………………………………………………………… O no 6.5 Having been removed from office of chairperson, director or manager under Section 144 or Section 145 or under the provisions of other laws: O yes O no 6.6 Being a political official: O yes O

availability and integrity; 4. The intermediary should have controls on unauthorized removal of equipment assets out of areas. Also, there should be records of equipment assets being removed off-site and