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
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shall have a clear scope of work and shall not combined with other units which will lead to conflict of interest; □ (2) Procedures in controlling person in and out of the unit responsible for custody the
place location, time period of work, position, scope of work and responsibility, and proportion of time working for asset custody function to the total time of working; □ (2.3) Personnel planning for
) Being able to show that it has established effective policy and measures for prevention of conflicts of interest, improper access to inside information among work units and personnel (Chinese Wall
management system; (7) Being able to show that it has established effective policy and measures for prevention of conflicts of interest, improper access to inside information among work units and personnel
market by increasing the number of auditors in the capital market and enhance the audit personnel?s capability in response to changes of professional standards and more complex transactions. Under this