investment unit redemption of gold ETF : (a) risk management system; (b) internal control system; (c) security system for investors’ information in order to prevent unrelated and unauthorized persons from
efficient operating systems relating to being an agent for selling or receiving requisition of investment unit redemption of gold ETF: (a) risk management system; (b) internal control system; (c) security
Securities Analyst (CISA) or any other equivalent examinations approved by the Office and having work experience in securities investment, risk management relating to securities investment or securities
Analyst (CFA) or Certified Investment and Securities Analyst (CISA) or any other equivalent examinations approved by the Office and having work experience in securities investment, risk management relating
approved by the Office and having work experience in securities investment, risk management relating to securities investment or securities analysis for not less than two years within five years prior to the
securities investment, risk management relating to securities investment or securities analysis for not less than two years within five years prior to the application date. (b) having obtained a certificate
derivatives as follows: Approval for Category A Investor Contact i.e.: Analysis (including technical analysis), Investment, Risk Management. * Having passed a course on relevant businesses knowledge and
related to securities and derivatives as follows: Approval for Category B Investor Contact i.e.: Analysis (including technical analysis), Investment, Risk Management, Investment Advisory, Dealer, Financial