clients: (1) any person who is sixty years old or older; (2) any person with limited knowledge on finance or no investment experience; and (3) any person with limitations on communication or decision-making
. Any person being at least twenty years old and intends to obtain an approval from the Office to be listed in the register of person qualified to be property fund manager shall submit an application for
Fund Manager Clause 6. Any person being at least twenty years old and seeking an approval from the Office to be listed in the register of person qualified to be fund manager shall submit an application
______________________ Clause 6 . Any person being at least twenty years old and intends to obtain an approval from the Office to be listed in the register of person qualified to be fund manager shall submit an
services suitable to each client carefully, especially with special care to the following clients: (1) any individual who is sixty years old or older; and (2) any person who has little financial knowledge
registration and deregister the old devices to ensure that the use of mobile devices complies with the information security policy. The intermediary may use other registration technology instead if considered
whichever name of position of such person is called; “investment consultant” 9 means a person giving investment consultation to investors, relating to solicitation for investment or providing consultation for
. “investment consultant” means a person providing investment consultation to investors, relating to solicitation for investment or providing consultation for trading or investing in capital market product
/ converting an online branch office to a full branch office: 5.1 Name of branch manager: ........................................................... 5.2 Branch manager is also an investment consultant. Yes No
the law on securities and exchange , including regulations issued by virtue of such law in the part of their responsibilities; **(6) having personnel to be investment consultant, investment planner or