Work System, Contact with Investors and General Business Operation of Trustees
) Soliciting a client from the securities company he used to work for to open a trading account with Apple Wealth. He lied that the shares in the client's trading account at his former employer had been
The Repeal of Notifications related to Directors, Managers and Other Personnel of Securities Companies and Derivatives Business Operators
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
equivalent position called otherwise, and such person shall be responsible for a line of work relating to securities services, securities operation, supervision of securities operation, or research on
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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