Audit Firm Name: Subject : Human Resources Prepared by Date Particulars Reference /Guidance Notes Description A Human Resources Planning 1 Is the firm’s human resource planning in line with the
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
: 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
; (b) an individual or a company holding majority shares of such person, which means: 1. an individual or a company holding shares of such person in the number of exceeding fifty percent of the total
Commissions (IOSCO) . Division 2 Board of directors and senior management responsibility Board of directors (“ Board ”) and senior management of the intermediaries shall be a responsible person for determining
following manners: (a) a spouse or a minor child of such person; (b) an individual or a company holding majority shares of such person, which means: 1. an individual or a company holding shares of such person
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
needed should also be given; 2. If the objective above is to invest in a future project, disclose the details as specified in the Future Projects Section; 3. In case of a transaction with a person with a
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
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