DRA-4.1.5B
Prior to appointing a person as a member of the Disciplinary Committee, the SRO must obtain and assess the following information:
(a) a declaration that the person has not been involved in any act of fraud, dishonesty or found guilty of any economic or other offence excluding minor traffic offence;
(b) a declaration that the person has not been disqualified by a court, regulator or other competent body; and
(c) disclosure regarding the nature of association with securities market including names of family members (spouse, father, mother, sons, daughters, brothers or sisters) associated with securities market.
Added: April 2020