performs monitoring function? 2 Does 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
and procedures for engagement supervision? which include: (a) Tracking the progress of engagement. (b) Considering the competence, capabilities and experiences of individual members of engagement team
within the full period of 3 years preceding the year of application filing toward the date of application filing; □ (2.4) In the case where the shareholder is an individual person: Violation record under
: .......................................................................................... 4. Academic degree(s) ( Bachelor's degree in....... (FIELDS OF STUDY)........ from ….(INSTITUTION) ............. (NAME)................ ( Master's degree in .......... (FIELDS OF STUDY)....... from
individual, and shall be allowed to undertake a derivatives business only after a license from the SEC has been obtained. Any derivatives business operator which is a legal entity under Section 17 and engages
respect of executive director, director authorized to sign on behalf of the company, independent director, manager or any person holding equivalent position called otherwise: 1. At least a bachelor’s degree
is to determine the maximum amount of damages claimed in order to ensure that the arbitration serves as an alternative dispute resolution for individual investors in accordance with the purpose of the
Degree : [ ] Lower than Bachelor Degree [ ] Bachelor Degree and higher Major : Name of Institution : Related academic background in case of member of audit committee (Bachelor Degree or higher
, documentation and support of its quality control policies and procedures. 9 Do the individual or individuals assigned operational responsibility for the firm’s QC system by the firm leadership have sufficient and
BUSINESS SECTION 16. A derivatives business operator shall be a limited company or a public limited company, except for a derivatives advisor which may be an individual, and shall be allowed to undertake a