gather information on name, last name, nationality, occupation, residential address, contacting address, name of ultimate beneficial owner, name of ultimate controlling person, name of the entity
be a job description explaining duties and responsibilities of each unit and position. 3. There should be a clear segregation between the unit with investment management function and the unit with back
hasbasic understanding of general laws related to the profession. The qualifications will be considered from the personnel’s: □(2.1) First name, last name, and education; □(2.2) Work experiences, given with
of spouse ……………………………………………………... Former name (of spouse) ………..…………………………………... Occupation …………………… working place ….…..… 2.7 Number of children …..persons (if any) (in case of change of children’s
, please describe 2 How the firm’s job evaluation / appraisal process works? How often job evaluation made? 3 Does the firm’s appraisal process gives due recognition and reward to competence, compliance with
significant case effect to the security of the information technology [M] · proving a method or compliance guideline support to compliance with the prescribed policy [M] · determining clearly duties and
capital market products which are over-the-counter derivatives. Clause 5/3 4 An intermediary shall ensure that the method and procedure for communicating with and providing services to clients have included
income structure of such period is required, as the case may be. 2 Including the profit margins in the associates based on equity method. 3 Describe the nature and proportion of other incomes, other
equity method. 3 Describe the nature and proportion of other incomes, other significant incomes must be displayed in a separate row (if any). Give a separate description of each product line or business
under the method of margins calculation prescribed by the derivatives exchange. Clause 4. In acting as a derivative agent in a derivatives exchange, the derivatives agent shall: (1) call for its clients