). operation only when the SEC Office verifies that: (1) the licensee has arranged for the work system and personnel to be ready in undertaking the business as shown in its application except where there is any
personnel for two years, starting from 14 September 2016. During the suspension period, {A} is not allowed to work in the managerial or advisory areas in the company, nor could he perform any other duties as
Business Clause 13 9 Personnel in the capital market business shall be persons who [i] have ability and work experience, [ii] attend training courses or pass the examination of courses provided by the SEC
Qualifications and Additional Prohibited Characteristics of Personnel in the Capital Market Business Clause 139 Personnel in the capital market business shall be persons who [i] have ability and work experience
have the independent director review the work of the SKFM management from 2016 to 2018; and (4) neglecting the supervision of SKFM operation, causing deficiencies in many cases. For
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member. The programs could be conducted in various forms such as seminars, study visits, secondment (recruiting Cambodian personnel to work at the SEC) or on-the-job training. In addition, the two
an aim to study the root causes of such issues and propose possible solutions to the problem. To make it work, we need all stakeholders to cooperate. We encourage stakeholders in the financial