listed companies for those people. In addition, amendment to the governing rules will add possession of accounting knowledge and passing of minimum training courses to the qualifications of financial
investor contacts as follows: 1. Participation in competency enhancing activities 1.1 Acceptable types of activities : One or a combination of the following activities: (1) Attending training courses or
approval for investor contacts as follows: 1. Participation in competency enhancing activities 1.1 Acceptable types of activities: One or a combination of the following activities: (1) Attending training
combination of the following activities: (1) Attending training courses or seminars organized either by securities companies or training institutes accepted by the Office; (2) Being a speaker, lecturer, full
areas including managing and controlling fixed and variable costs, monitoring company’s liquidity, managing any policy relating to employees and revising the short-term plan to ensure the least impact to
. · Backup and IT Contingency Plan. · Computer Operation. · IT Outsourcing. 3. Compliance of policy. · Announcing and communicating to concerned person thoroughly for the purpose of compliance such as training
Information Technology of a Securities Company. 2. Segregation of Duties. 3. Physical Security. 4. Information and Network Security. 5. Change Management. 6. Backup and IT Contingency Plan. 7. Computer
) .......................... …….… ................... ………..………….. Details of duties and responsibility ……............................................. Form as of 25 July 2006 3.3 Additional Training O Having passed or being under a training course relating to the role
) .......................... …….… ................... ………..………….. Details of duties and responsibility ……............................................. Form as of 25 July 2006 (Translation) 3.3 Additional Training O Having passed or being under a training course relating