assign their authorization to the CFO? 3 Whether the firm has designated a Quality Control partner who takes ultimate responsibility for the firm’s QC system? If yes, Does the firm leadership provide the
approved by the Office of the Securities and Exchange Commission as qualified to be appointed as property fund manager; (6) “Manager” means a person assigned by the board of directors to take the highest
Notification: (1) “ representative ” means a person appointed by a management company as an agent for selling investment units or receiving requisition of investment unit redemption, and in case the management
) “ representative ” means a person appointed by a management company as an agent for selling investment units or receiving requisition of investment unit redemption, and in case the management company is a private
. “registrar” means a person appointed by the Minister to be the Registrar of provident funds. “competent official” means a person appointed by the Minister to execute the duties in accordance with this Act
operation, reputation, position and results of operation of the intermediaries. “ manager ” means a person who is designated by the board of directors of intermediaries to be the highest responsible
trading in the Securities Exchange. "competent official" means a person appointed by the Minister to execute the duties in accordance with this Act and whose name is published in the Government Gazette
” means any person who is designated by the derivatives fund manager to be an agent to solicit investors, together with proposed investment plans, to enter into a contract with the derivatives fund manager
details for implementation by the personnel or person assigned to operate the securities company; (2) Information, including the roles and responsibilities, of the personnel in charge of operations in the
: Certification of Information 37 Attachments: Attachment 1: Details of directors, executives, controlling persons, the person assigned to take the highest responsibility in Accounting and Finance, the person