of listed company, and possess prohibited characteristics as director or executive of listed company or personnel in the capital market throughout the period when he is still subject to the criminal
offences in violation of such law has caused {A} to have untrustworthy characteristics as director or executive of listed company, and possess prohibited characteristics as director or executive of listed
reports on financial conditions. In addition, their executives must possess the prescribed qualifications.Besides public sector organizations must file registration statement with additional material
also considered personnel in the capital market. As a result, his aforesaid misconduct has caused him to possess the prohibited characteristics of capital market personnel.* This deems him unfit to
does not possess prohibited characteristics pursuant to the law governing securities and exchange and notifications issued by virtue of the said law. The letter of certification shall be signed by the
shall be paid within ten days as from the date the SEC Office notifies the result of preliminary consideration that applicant possesses qualification and does not possess prohibited characteristics: (1
of Prohibited Characteristics _______________ (Translation) -3- Part 1 Prohibited Characteristics _______________ Clause 3 Personnel in capital market industry shall not possess any prohibited https
Commission which each type of customers may invest or possess. Clause 8. In case the customer wishes to put his or her property into the custody of the derivatives fund manager, the derivatives fund manager
Exchange Commission which each type of customers may invest or possess. Clause 8. In case the customer wishes to put his or her property into the custody of the derivatives fund manager, the derivatives fund