three years relating to gold; (4) Being able to show that any individual being its director, manager or person with power of management who is in charge of derivatives business of the applicant meets the
the firm have a partner or manager level individual who is responsible for its monitoring process? If yes, does the responsible person have sufficient and appropriate experience, authority, and time
person realise the essential of security of the information technology thoroughly had known the duties and responsibilities and guideline on controlling the various risk which have a content covering the
concerned person realise the essential of security of the information technology thoroughly had known the duties and responsibilities and guideline on controlling the various risk which have a content
Digital Asset Business Registered Person Secondary Market and Related Entities Enforcement Class Action Prevention of Unfair Securities Trading Practices Discussion Rule Making Process Handbooks / Best
applicant. In case the application is submitted by an authorized person and the evidentiary documentation is incorrect or incomplete, the authorized person must show a written authorization from the applicant
ultimate responsibility over the system of quality management (SOQM) functions within the firm? B3 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how
in the similar manner as an ordinary person undertaking the like business under the similar circumstance. Any matter proven by the director or executive that, at the time of considering such matter
/Form (Notification of Securities and Exchange Commission) Certified Form Relating to Acting in Compliance with Related Laws of Applicant who is Juristic Person/Financial Institution or Individual
/Form (Notification of Securities and Exchange Commission) Certified Form Relating to Acting in Compliance with Related Laws of Applicant who is Juristic Person/Financial Institution or Individual