An intermediary shall propose only suitable services relating to investment or transactions of capital market products to a client . In this regard, it shall take into account the following factors as

consistent and suitable for the risks and complexity of each type of capital market product by taking into consideration the best interest of clients. In addition, such communication and provision of services

market conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties

the company to select a person with knowledge and abilities suitable to act in the capacity so appointed. The person shall have no record of misconduct and behaviour which may affect to image of the

management that should be applied by each intermediary and for determining a clear detail of practical approaches suitable for size and complexity of business operation of companies. In addition, the

increase or decrease of credit limit suitable for clients’ repayment ability, and updating clients’ information and reviewing each client’s credit limit at least once a year; (3) appointing a committee to

to enable investors to decide and select such investment in a mutual fund suitable to their need. (2) The mutual fund management company has duly proceeded to apply for approval for the mutual fund

function will be ready. Such personnel shall have knowledge, abilities and experiences suitable for the assigned tasks and shall have understanding of general laws related to the professional. The approved

suitable for his/ her investment purpose and financial status or not. With respect to trading options, the Client should also understand other relevant terms and conditions, including type of options, e.g

License No. Position Educational Qualification Experience in Auditing (years) 1. 2. 3. 4. (Additional details can be submitted as attachments) Details of assistant auditors who assist the audit engagement