operation; risk management; selection and monitoring of its personnel assuring that they have and maintain such qualifications that correspond to the nature of their duties and internal control measures to
submission date; (2) name and location of the applicant; (3) name, work experiences and qualifications of the person whom the applicant will appoint as the authorized person of securities registrar; (4) rights
experiences and qualifications of the person whom the applicant will appoint as the authorized person of securities registrar; (4) rights, duties and responsibilities between the securities registrar and the
: Data under Section 26 of the Personal Data Protection Act, for example, criminal record, nationality, religion. Qualification data: Data relating to the qualifications of business operators, which
who is supervised by a regulator who is located in a foreign country and has any of the following qualifications, the SEC Office shall consider that the intermediary has complied with the provisions in
supervised by a regulator who is located in a foreign country and has any of the following qualifications, the SEC Office shall consider that the intermediary has complied with the provisions in the
Exchange Commission. Clause 3. An applicant seeking an approval to act as a mutual fund manager shall have the following qualifications; (1) Being a permanent staff member who is able to work full-time for a