any change of information, the management company shall update the list in its web site within fourteen days as from the date of change. Chapter 3 Person Listed in the Register of Person Qualified to be
site of the management company. In case there is any change of information, the management company shall update the list in its web site within fourteen days as from the date of change. Chapter 3 Person
experience, for example, education, employment record, affiliation, job positions, work experience, test/training records, certification numbers of locally certified public accountants/international certified
meeting with sufficient details in order to be used for subsequent audit on appropriateness of each director’s responsibilities; such as: records of directors’ questions; directors’ views and remarks of the
experience, for example, education, employment record/ affiliation, job positions, work experience, test/training records, certification numbers of locally certified public accountants/international certified
. Clause 19 A securities company shall keep records of the giving of advice and negotiation on securities investment with a client for at least one month from the date on which the giving of advice or
or a person licensed to undertake securities business in the category of securities dealing under foreign laws. 6 Clause 19 A securities company shall keep records of the giving of advice and
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) | - |- Securities Underwriting (Section 116) | - |- Underwriter of capital market product denominated in foreign currency | - |- Books & Records Requirements | - |- Risk Control | - |- Compliance / Internal Control
Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of Interest | - |- Online Submission Contact The Securities and Exchange