due to the decrease in revenue from sale promotion in Q3–2024 Cost of sales and service Cost of sales and service in Q3–2024 increased from Q2–2024 by 27.0 MB or representing an increase of 1.8% and
protect the customers’ optimum benefit, on the basis of integrity, prudence and due care. Clause 11. To ensure that the management company shall carefully invest or seek benefit for a fund from securities
its best effort to protect its customers’ interest, take into account and protect the customers’ optimum benefit, on the basis of integrity, prudence and due care. Clause 11. To ensure that the
, take into account and protect the customers’ optimum benefit, on the basis of integrity, prudence and due care. Clause 11. To ensure that the management company shall carefully invest or seek benefit for
personnel who obtained the approval from the SEC Office in accordance with the rules specified in the notification of the SEC Office, be responsible for contacting, soliciting or giving advice related to
--------------------------------------- Clause 12. 9 Derivatives broker shall arrange to have personnel who obtained the approval from the SEC Office in accordance with the rules specified in the 6 As amended by the SEC Office Notification No
--------------------------------------- Clause 12.9 Derivatives broker shall arrange to have personnel who obtained the approval from the SEC Office in accordance with the rules specified in the 6 As amended by the SEC Office Notification No
analysis for not less than three years within five years prior to the date of submission of the application. 2. Having obtained a certificate (level 3) in Chartered Financial Analyst (CFA) or Certified
to securities investment or securities analysis for not less than three years within five years prior to the date of submission of the application. 2. Having obtained a certificate (level 3) in