shareholder(s) that have ultimate control of the audit firm? 2 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how the ultimate shareholder(s) delegate or
(%) ……………………. ………………… ……………………. ……………………. ………………… ……………………. ……………………. ………………… ……………………. O no 5.2 Being an employee, officer, advisor with permanent salary or power of control of a company, parent company, subsidiary, affiliate or being a person who may be in conflict: O yes (please
having authority to control person under (1) to (3) or person under (1) to (3) having authority to control the other persons as specified by the notification of the Office. Part 3 Soft Commissions Clause
intermediary ; “ executive ” means a manager and a person responsible for control, supervision and management of the business units relating to investment advice, investment planning, analysis of investment or
issued shares; (2) a company relating to the intermediary by having control between each other; (3) a company and the intermediary have mutual control by any person. “ control ” means control as determined
contract, shareholding, control or management, including any connected person in relation to such person. In this regard, such person may be liable to cause the intermediary to provide services to clients
which are debt instruments; (2) “ securities company ” means a company licensed to undertake securities business in the category of securities dealing; (3) “ counterparty ” means a person who trades
approval by the authorised person; · Controlling the privilege user strictly, such as controlling the compliance such user in a manner of dual control which imposing two officer possess half of password or
the purpose of this Section, a beneficial owner of shares shall mean any person with direct or indirect power to: (1) direct or control the exercise of voting rights in a derivatives business operator
) if the management company can demonstrate to the SEC Office that such person has rectified the cause, work system, management structure and operating control, which has caused such person to have the