system for controlling and preventing the use of inside information between its work units and personnel clearly: (a) the period where the intermediary prepares a report on securities analysis ; (b) within
analysis for not less than three years within five years prior to the date of submission of the application. 2. Having obtained a certificate (level 3) in Chartered Financial Analyst (CFA) or Certified
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
quantitative investment analysis such as an analysis of a financial statement and qualitative analysis such as an analysis of policy of the company that issued the instrument which the fund intends to invest
action within determined period which the SEC Office shall stipulate reasonably and in consistency with related circumstances, matters and issues; (6) imposing the intermediary to submit any information
in securities for investors. There are two categories of investor contact s which are category A investor contact who is allowed to conduct an analysis on the value or suitability of the purchase or
customer. Derivatives broker must send the confirmation statement and the evidence of margin call under the first paragraph to customers by the method agreed with the customers within the next business day
termination of appointment of property fund managers which shall be submitted within fourteen days as from the termination date. The management company shall disclose the list of property fund managers of each
broker shall send the confirmation statement and additional evidence of margin call prescribed under Paragraph 1 to customers through the method agreed upon by the customers within the next business day
Notification, to [i] amend or refrain to act or [ii] act any action within determined period which the SEC Office shall stipulate reasonably and in consistency with related circumstances, matters and issues; (6