capital market as specified in Paragraph 1(1) of Clause 3; (2) the approved person fails to maintain the qualifications specified in Paragraph 1 of Clause 3; (3) the approved person fails to comply with the
registered person shall maintain qualifications as prescribed under Clause 2 and in cases where such qualifications cannot be maintained, such registered person shall notify the Office in writing and provide
institution established under specific law under Clause 4(1) (2) and (4) shall maintain its qualifications specified in Clause 5; (2) registered derivatives business operator who is a foreign juristic person
reasons and the necessity to maintain or appoint such person as an independent director as well as the opinion of the board of directors that such person’s holding of the independent director position does
relationship or professional services which disqualify such person in accordance with the governing regulations, the reasons and the necessity to maintain or appoint such person as an independent director as
: 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
able to show that any individual being its director, manager or person with power of management who is in charge of derivatives business of the applicant meets the requirements and does not have any
structured CPD for registered auditors? 5 Is there a training policy for other audit issues of Listed Companies? 6 Are these CPD targets communicated to each individual? If yes, how? 7 Are these targets
company licensed to undertake securities business in the category of investment advisory service; “person with power of management” means a person responsible for a line of work relating to investment
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