will be ready, and such personnel shall have knowledge, abilities and experience appropriate for the nature of the responsible jobs and shall have integrity, honesty, professional ethics, fundamental
of securities company, or the issuer within appropriate time. A securities company shall not claim the benefits of the client without an order or consent of the client in writing. CHAPTER II Record of
issuer within appropriate time. A securities company shall not claim the benefits of the client without an order or consent of the client in writing. CHAPTER II Record of Particulars of Client’s Assets
efficiently use within appropriate time, including having security system sufficient to prevent an access or amendment of such information by non-responsible person. Clause 11. Derivatives broker shall arrange
derivatives business, both in document or electronic format, are accurate, complete, can be able to efficiently use within appropriate time, including having security system sufficient to prevent an access or
issuing this Notification is that it deems appropriate to modify the qualifications of applicants for derivatives business license to offer opportunity to business operators with proper qualifications and
_____________________________________________________________________ Remark : The investment management of mutual funds and private funds shall be carried out by fund managers with qualifications and appropriate characteristics i.e. having knowledge, ability, honesty