Identity card No. ………………… Expiry date ..………………… O Passport No. ……………………………… Country of issuance ………………... Expiry date ………….. 2.5 Marital status O single O married O divorced Form as of 25 July 2006 2.6 Name
of Intermediary to Handle Clients’ Complaints and participation in the SEC Office’s project to resolve disputes by arbitration. 4.3 Having a business plan and an operating system for establishing a
Commission governing the maintenance of financial status of a licensed securities company; (2) shareholders’ equity as shown in the latest financial statement that has been audited by an auditor approved by
the company’s strategies and policies on the business continuity management (BCM) and the business continuity plan (BCP), including allocation of resources and budgets to relevant units properly, and
governing the maintenance of financial status of a licensed derivatives broker; (2) shareholders’ equity as shown in the latest financial statement that has been audited by an auditor approved by the Office
, policy and operating plan of the company and units of the company should be clearly prescribed and conform to the fiduciary duties and good corporate governance with an aim to enable the management company
management company conducts an offence relating to misleading its financial status or actual performance; (5) the management company is not ordered by the Securities and Exchange Commission or the Office to
, investment status and the approximate spending amount. In case of acquiring assets or investment in a business unrelated to the current one, clarify the reason(s) and the background of such asset acquisition
range of investors; (4) having financial readiness without any reasonable ground to believe that the financial status may cause damage or any other circumstance indicates an ongoing financial problem; (5