securities company , the term “personnel” and “employee” under this Notification shall also include any person who is assigned to perform duty for a securities company . Clause 5 The provisions in Clause 19
securities brokerage business undertaken by a securities company, the term “personnel” and “employee” under this Notification shall also include any person who is assigned to perform duty for a securities
auditing of the financial statements without the requirement to comply with other rules stipulated under this Notification: (1) being a foreign governmental agency who has the duty to perform financial audit
) Signature affixed in the company’s audit report pursuant to Clause 3 of the Notification of the Securities and Exchange Commission concerning Approval of Auditors in the Capital Market since ............(YEAR
trading. The acts of {A} and {B} were in violation of Clause 20(2) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to
Approval and Duty Performance of CIS Operator __________________ Clause 4 Unless specified otherwise in this Notification, in offering for sale of units of a collective investment scheme, the CIS operator
market business who have performed the duty of providing services to clients regarding investment in capital products denominated in foreign currency prior to the date on which this Notification comes into
Notification comes into force may continue to perform their duty, provided that the intermediary shall arrange for such personnel to attend a training course on foreign currency risk organized by an agency