derivatives exchange; “derivatives clearing house” means an entity licensed to operate business as a derivatives clearing house; “personnel in derivatives business” means: (1) a person who assumes a job for the
more than 10 years, but no longer working for the intermediary that issues certificate of employment; (6)9 when such persons who are personnel in the capital market business under Clause 9(1) or (3
fund managers. 2. Job description must be prescribed in details and demonstrate the duties of each position. Handbook or operating guideline for staff must be prepared and up-to- date. 3. The personnel
personnel skills, employment of external IT personnel; (4) management of critical risks in the case of being unable to allocate sufficient resources for the operation of the information technology function
the Office. □ 4. Supporting documents for consideration under Clause 4 (4): The information of personnel in the unit responsible for asset custodyshall comprise at least of the following: □ (1) Number
highest responsibility in managing the company, regardless of the job title; (7) “Management Company” means the property fund management company; (8) “Company” means any limited company or public limited
translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission No. Sor Lor Thor. 8/2557 Re: Approval of Personnel in the Capital Market Business ___________________
information technology shall be widely communicated to the relevant personnel of the intermediary in an easily accessible manner in order for such personnel to understand and be able to comply with such policy