PSE - Unrestricted
THE PHILIPPINE STOCK EXCHANGE, INC.
QUESTIONNAIRE
for non-brokers
Name: ___________________________________
1. Have you been an employee or officer of an active or inactive brokerage firm or trading participant of the PSE within the last 2 years?
□ Yes□ No
If yes, please state name of the brokerage firm/trading participant and position ___________________
2. Are you or have you been a stockholder of an active or inactive brokerage firm or trading participant of the PSE within the last 2 years?
□ Yes□ No
If yes, please state which brokerage firm/trading participant _______________________
3. Have you been affiliated, directly or indirectly, with any brokerage firm or trading participant of the PSE within the last 2 years?
□ Yes□ No
If yes, which brokerage firm/trading participant? ______________
4. Have you had dealings with any brokerage firm or trading participant of the PSE during the last 2 years?
□ Yes□ No
If yes, please state the name of the brokerage firm/trading participant and the nature of your dealings
________________________________________________________
5. Do/Did you or your relatives own, directly or indirectly, a trading right of the PSE? For this purpose, relatives include spouse, parent, child, brother, sister, and the spouse of such child, brother or sister.
□ Yes | When? ________ | □ No |
6. Is/Was your spouse an employee or officer of an active or inactive brokerage firm or trading participant of the PSE within the last 2 years?
□ Yes□ No
If yes, please state name of the brokerage firm/trading participant and position ___________________
7. Is/Was your spouse a stockholder of an active or inactive brokerage firm or trading participant of the PSE within the last 2 years?
□ Yes□ No
If yes, please state name of the brokerage firm/trading participant ______________
8. Is/Was your spouse or a corporation in which your spouse is a stockholder affiliated with any brokerage firm or trading participant of the PSE within the last 2 years?
□ Yes□ No
If yes, please state the name of the brokerage firm/trading participant ______________
9. Do you have relatives within the 4th degree of consanguinity or affinity who are employees or officers of an active or inactive brokerage firm or trading participant of the PSE within the last 2 years?
□ Yes□ No
If yes, please state who, the brokerage firm/trading participant, and his/her position in said trading participant
___________________ ______________________________ ___________________________________
10. Do you have relatives within the 4th degree of consanguinity or affinity who are affiliated with any active or inactive brokerage firm or trading participant of the PSE within the last 2 years?
□ Yes□ No
If yes, please state who and the nature of the affiliation with the brokerage firm/trading participant
___________________________________________________
PSE - Unrestricted | |||||
11. Have you been within the last 2 years appointed a director of the PSE? | □ Yes | □ No | |||
Any of its related companies? | □ Yes | □ No | |||
Any of its substantial shareholders | □ Yes | □ No | |||
Any listed company in the PSE? | □ Yes | □ No | |||
If yes, please state name of related company, or of the substantial shareholder of PSE, and/or of the listed | |||||
company and if elected as an independent director ______________________ | |||||
____________________________ | |||||
12. Are you or your relatives a substantial shareholder of PSE? □ Yes | □ No | ||||
Any of its related companies? | □ Yes | □ No | |||
Any of its substantial shareholders? | □ Yes | □ No | |||
A listed company? □ Yes | □ No |
For this purpose, relatives include spouse, parent, child, brother, sister, and the spouse of such child, brother or sister. If yes, please state name of related company, or of the substantial shareholder or of the listed company
______________________
13. Have you within the last two (2) years been employed in any executive capacity by PSE?
□ Yes | □ No | ||||
Any of its related companies? □ Yes □ No | |||||
By any company whose securities are listed in the PSE? | □ Yes | □ No | |||
By any of PSE's | substantial shareholders? | □ Yes | □ No | ||
If yes, please state position and the name of employer | ________________________________________ | ||||
_________________________________________________________ | |||||
14. Are you an officer or employee of the PSE? □ Yes | □ No | ||||
… of any of its related companies? □ Yes | □ No | ||||
… of any company whose securities are listed in the PSE? | □ Yes | □ No | |||
… of any of PSE's substantial shareholders? | □ Yes | □ No | |||
If yes, please state position and the name of employer | ________________________________________ | ||||
_________________________________________________________ |
15. Have you within the last two (2) years been retained, either personally or through your firm or any similar
entity, as professional adviser, by PSE? | □ Yes | □ No | |
Any of its related companies? □ Yes | □ No | ||
By any company whose securities are listed in the PSE? □ Yes | □ No | ||
Any of PSE's substantial shareholders? | □ Yes | □ No |
If yes, please state the nature of the retainer, your firm and name of company related to PSE or of the substantial shareholder, or of the listed company
___________________________________________________________________
16. Have you been, within the last two (2) years, engaged in any transaction with PSE and/or with any of its
related companies and/or with any of its substantial shareholders, whether by yourself and/or with other persons and/or through a firm of which yaou are a partner and/or a company of which you are a director or substantial shareholder, other than transactions which are conducted at arms length and are immaterial?
□ Yes □ No
If yes, please state nature of transaction and name of related company, or of the substantial shareholder
____________________________________________________________________
- For incumbent directors, when was the year of your first election as director of PSE? _________________
-
Have you, for the past three (3) years, had the relevant experience or working knowledge of the securities sector and the capital and financial markets? Please describe.
____________________________________________________________
PSE - Unrestricted
Signature ________________________
Date________________________
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PSE - Philippine Stock Exchange Inc. published this content on 30 June 2022 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 30 June 2022 02:51:00 UTC.