advisory service, ranging from the level of the department director to the manager; “department director” means any person who is responsible for the internal operation of a department in the company
…………………………….. Authorised person sign (…………………………….) on behalf of the applicant. Position ………………………………. Date ………………………………….. Affix the company’s seal (If any) Note: The Application and supporting documents according to the
in a line of work relating to money market or capital market, or work experience in the management level that is beneficial to management of securities business or work experience from being an
investment objectives, the level of knowledge, understanding, and experience in derivatives trading, the financial status, and the repayment ability of each client. In performing the duty in accordance with
business operation and has the duty to convey the goals under the missions, strategies, policies, and operating plan at the enterprise level to the information technology-related goals under the supervision
customer. Clause 20. Prior to opening of the account, derivatives broker shall consider pledging and debt repayment capability of the customer for the maximum level of derivatives position which the customer
consultants of the firm? 3 What are the CPD targets set for each staff level? : · Partners · Senior Managers · Manager · Audit Seniors · Audit Trainee · Consultants/Sub-Contractors · Temporary Staff 4 Is there
separate disclosure in (b). In cases where an independent director also holds the same position at the parent company or a subsidiary or subsidiaries of the same level, disclose the total remunerations
inspecting unit…………………………………………………………… (2) Period of inspection.……………………………………………………… ……… (3) Scope of inspection (3.1) Audit engagements level…………………………………….…………… (Please specify the names of the engagement
acceptable level on a continued basis by clarifying significant risks. In this regard, the Company may disclose the full version of the policy, operational framework and risk management plan on the Company’s