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

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

: 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

calculating net asset value of fund or securities-clearing (back-office function) including the segregation of reporting line of the personal in the segregated units and there should be a person responsible for

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

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

derivatives whose underlying products are debt securities or variables are interest rates or any other variables as prescribed by the Office; (4) “applicant” means a person applying for derivatives business

: .............................................................Juristic Person Registration No............................... head office located at

, telephone number, facsimile number, amount and type of the total sold shares of the juristic person whereby the Company holds at least 10 percent of such shares; and (3) Names, locations, telephone numbers

) Chapter 2: IT Security with the following details: 2.1 Information Security Policy; 2.2 Organization of Information Security; 2.3 Human Resource Security; 2.4 Asset Management; 2.5 Access Control 2.6