of the skills and knowledge in relation to the performance of duty as investor contact using three criteria being 1. Participation in activities accepted by the Office, 2. Further education and 3

seminars organized either by securities companies or training institutes accepted by the Office; (2) Being a speaker, lecturer, full-time or guest instructor at universities accepted by Office. 1.2 Scope of

and procedures for approval for mutual fund manager; “Private fund manager” means any private fund manager who obtains approval from the Office under the notification of the Securities and Exchange

services of intermediary , including any fund , unit holder and member of provident fund. “ fund ” means a mutual fund or a private fund. “ capital market products ” means any securities and derivatives

of investment in such securities; “general advice” means an investment advice given to any person without considering of investment objective, financial status or individual needs; “specific advice

. the operating procedures that meet the internationally-accepted information security standards; 3. measures on IT security, access control, and information disclosure; 4. audit of the cloud provider’s

calculating net asset value of fund or securities-clearing (back-office function) including the segregation of reporting line of the personal in the segregated units and there should be a person responsible for

derivatives intermediary. “ client ” means a person who uses services of intermediary , including any fund , unit holder and member of provident fund. “ fund ” means a mutual fund or a private fund. “ capital

Approval of Auditors ; 5. I entirely understand the code of ethics for professional accountants and will perform audit work in compliance with the code; 6. I entirely understand the generally accepted

equitable treatment to clients; (3) the derivatives broker shall maintain each client’s confidential information and refrain from disclosing personal information, information on trading of derivatives, or a