: …………………………………………………………………………..……………………….... ……………………………………………………………………………………………….……….……… ……………………………………………………………………………………………………….…….… 2. Information about individual or entity you have a complaint against Name : Juristic person Ordinary person ……………………………………………………………………………………………………….……… Objective of the complaint wished to be
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 requirements and does not have any
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 requirements and does not have any
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
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
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
marginal part, which represents the dynamic behaviour of each individual marginal, and the copula part, which represents the joint dependence among those individual components. Specifically, the REITs
Derivatives Broker Registered Derivatives Broker Securities Dealer Securities Companies and Other Financial Institutions Staff or Agent (individual) Acting as Investor Contact of the Company