Information required in respect of members of controlling body of exchange’ or central securities depository
An application for a licence must be accompanied by the following information in respect of members of the controlling body of the applicant:
| (1) | A curriculum vitae in respect of each member of the controlling body indicating the nature and extent of the member's qualifications and experience in the business operated by the applicant and the names of three referees; |
| (2) | whether the member has ever been convicted or found guilty of a criminal or disciplinary offence resulting from dishonesty, fraud, embezzlement or a breach of the rules of any professional organisation, including a regulated person; |
| (3) | whether the member has ever been involved in an entity that was placed under judicial management or in liquidation; |
| (4) | whether the estate of a member has ever been sequestrated, and the date of rehabilitation, if any; |
| (5) | whether the member has ever been barred from 'entry into any profession or occupation; |
| (6) | in respect of (2) to (5) above, an indication if proceedings are pending; and |
| (7) | full details of any fact which may have an impact on the evaluation by the Registrar of the good character and integrity of a member of the controlling body. |
