or investing in capital market product whether or not the analysis is fundamental or technical, in conjunction with such consultation. “ fundamental analysis ” means an analysis to seek an appropriate

whether or not the analysis is fundamental or technical, in conjunction with such consultation, and shall mean an ASEAN investment analyst as well; “ ASEAN investment analyst ”9 means a person eligible to

in the same direction with regard to proprietary trading in the following matters: (1) General Provisions shall be in accordance with Chapter 1; (2) Additional Rules for Proprietary Trading of

clearly determined and tangible e.g. fund performance, management company’s performance, market share, etc. The long-term plan should demonstrate the direction of the business and the future plan such as

conduct shall be disclosed in attachment for investors to understand and use them as guidelines for monitoring future business direction. 6.3 Material changes and developments regarding policy, guidelines

advertising rules prescribed under this Chapter, the securities company shall, as per the direction of the Office, perform one or more of the following acts: (1) cease the advertising; (2) rectify the

under this Notification, the securities company shall, as per the direction of the Office, perform one or more of the following acts: (1) cease the advertising; (2) rectify the information in the

cause any conflicts of interest with the management of mutual funds; (2) Having attained the age of twenty; (3) Having passed the fundamental knowledge examination for professionals administered by a

Derivatives Intermediaries dated 6 September 2013. Clause 3 The regulations detailed in this Notification are stipulated for intermediaries to proceed in the same direction in compliance with the Notification

Fundamental of Financial Statements (UFS) [  ] Role of the Compensation Committee (RCC) [  ] Improving the Quality of Financial Reporting (QFR) [  ] DCP Refresher Course [  ] others (please specify) [ specify