possesses strong financial position and reliability. It is, therefore, deemed necessary to determine the minimum paid-up registered capital of such person.
or [ii] imprisoned by the final judgment of a court regarding the following offences regardless of whether the infliction of punishment has been suspended, and having been acquitted of the imprisonment
the date of the case is deemed final. Clause 3 A securities company shall proceed with a customer complaint in the following manners: (1) proceed to solve the problem described in the complaint rapidly
the duty of a director, a manager or a person with power of management, or an advisor: (1) being or having been a bankrupt; (2) having been imprisoned by the judgement of a court which is final for an
person. [ ] Yes [ ] No (3) I have been denounced by the SEC Office or have been tried in any criminal proceedings resulted from denunciation by the SEC Office or was imprisoned by the court’s final
proceedings to the solution is deemed final, unless otherwise specified by the Office. Clause 5 This Notification shall come into force from 1 December 2005. Notified this 14th day of November 2005 (Mr
his duty, the subcommittee members present at the meeting shall elect one of them to be the chairman of the meeting. Final resolutions of the meeting shall be made by majority vote. Each subcommittee
……………………………………………………… By (name of the organization)...…………….(attachment)(if any) O No 2.2 For the past 3 years prior to the application filing (1) Was imprisoned by final judgement in offence against property committed with
procedures. E Engagement documentation: 13 Has the firm established policies and procedures for engagement teams to complete the assembly of final engagement files on a timely basis after the engagement
be an executive of a licensed securities and derivatives business, fill in every part; Part 1 6.1 Being or having been a bankrupt: O yes O no 6.2 Having been imprisoned by a final judgement of the