, departmental director or any equivalent position called otherwise, and shall include a person having entered into an agreement for full or partial power of management. “ general investor ” means an investor who
otherwise, and shall include a person having entered into an agreement for full or partial power of management. Clause 2 The operation under a regulatory sandbox of a person who is approved by the SEC Office
work for such persons to have full or partial managing power in the securities company.
technology operation, either by an internal unit of the securities company or by an outsider inspector, in order to inspect all of the potential risks on information technology. In case of inspection by an
imposed by management (paragraph........). ( 4.2 Multiple uncertainties with potential interaction of the uncertainties and their possible cumulative effect on the financial statements (paragraph
appropriate audit evidence regarding each of the individual uncertainties, it is not possible to form an opinion on the financial statements due to the potential interaction of the uncertainties and their
, to any person with whom the derivatives business operator enters into an agreement authorizing such person as well as those who work for such person to have full or partial power of management in its
potential, and the names of competitors (only in the case of duopoly or oligopoly). 2.3 Procurement of products or services (a) Describe an overall procedure for procuring products for sale during the past
otherwise entitled. Clause 3 Intermediaries shall identify its critical functions, assess their risks of major operational disruptions, conduct business impact analysis and assess potential damages arising
and adequately throughout the period of participating in the regulatory sandbox ; (b) assessing and managing potential risks from service provision; (c) having procedures for communicating and providing