Clause 9 (1) and (2) for each client in accordance with the client’s level of risk associated with money laundering (risk-sensitive basis). Clause 11. Securities companies shall not allow the use of
, and apply the scope and intensity of the procedures mentioned in Clause 9 (1) and (2) for each client in accordance with the client’s level of risk associated with money laundering (risk-sensitive basis
shares of the company under (b) and shareholding in each level exceeds fifty percent of the total number of shares with voting right of such other companies; (d) a company holding shares of the applicant
of shareholding, beginning with the company holding shares of the company under (b) and shareholding in each level exceeds fifty percent of the total number of shares with voting right of such other
submission of the application. (b) Possessing qualifications and work experiences as follows: 1. Having passed the level 1 examination of Chartered Financial Analyst (CFA) or Certified Investment and
standards within two years prior to the date of submission of the application. (b) Possessing qualifications and work experiences as follows: 1. Having passed the level 1 examination of Chartered Financial
qualifications and work experiences: (a) having passed the Level 1 examination of Chartered Financial Analyst (CFA) or Certified Investment and Securities Analyst (CISA) or any other equivalent examinations
margin had accounted for the fair value adjustment of the acquired business according to the accounting standards under WHA level. However, the genuine gross margin during 3 months and 6 months ended the