legal entity; (4) Being able to show that person who is director, manager or person with managerial authority being responsible for the applicant’s undertaking of derivatives business has qualifications
performance supervision, internal audit, or risk management; (5) being able to show that person who is major shareholder does not have any prohibited characteristics under Paragraph 2 of Section 25 and the
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
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
property funds; (3) “Property Fund Manager” means a person who makes decisions to invest or dispose of real estate or leasehold right of property funds; (4) “Fund Manager of Fund for Solving Financial
” means a contract whereby a person, called a settlor, transfers or creates real right or any right appertaining to property to or for another person, called a trustee, with trust and confidence in order
: 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
Exchange Commission as qualified to be appointed as fund manager; (4) “Manager” means a person assigned by the board of directors to take the highest responsibility in managing the company, regardless of 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
reference. PAGE 4 Notification of the Securities and Exchange Commission No. Kor Thor 18/2563 Re: Determination of Types of Financial Services of Person Approved to Participate in Regulatory Sandbox to