intermidiary’s personnel who perform such functions and the disclosure of information concerning certain products in the capital market to its clients shall comply with this Chapter. Clause 23 An intermediary
___________________________ 8 Clause 22 In providing investment analysis or consultation to clients under Clause 38 of the Notification on Standard Conduct of Business, an intermidiary’s personnel who perform such functions
in submitting inquiries and expressing beneficial opinions in a meeting, to the best of their abilities; senior management shall not serve as full-time employees at other organizations, and shall
temporary closing most parts of the shopping mall to stop the COVID-19 outbreak. Enable tenant remedy measurement who affected and take care employees thoroughly Cost effective management and the review of
appropriate and sufficient personnel, communication system, customer service system, and internal supervision system, and these systems must be compatible with the additional technology apart from the
to provide investors with quality and standard services from business operators.The regulations will require business operators to provide personnel, communication system, customer service system
providers are still responsible for any actions operated by the outsourced company while the outsourced company must also have the readiness in both personnel and the operating system, and such operation
provide services with loyalty, affecting the reliability of capital market business personnel in a significant manner, which is considered a prohibited characteristic of the capital market business
Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to Perform Duty of Investment Analysis and Investment Consultant dated January 18, 2012. In this case, the SEC revoked {A
: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. Owing to the fact that her approved investment consultant status