derivatives exchange or a derivatives clearing house which is a position or nature of work permissible to be performed provided that the job holder has no prohibited characteristics as specified. “personnel in
mean any person holding equivalent position called otherwise and such person shall be responsible for a line of work relating to provision of securities services, securities operation or research on
holding equivalent position called otherwise and such person shall be responsible for a line of work relating to provision of securities services, securities operation or research on securities or capital
work related to fund management; (2) have selection and checking system before assigning a role to its personnel. Such system shall enable the company to select a person with knowledge (Unofficial
in an adequate number for all types of work related to fund management; (2) have selection and checking system before assigning a role to its personnel. Such system shall enable the company to select a
representative office abroad .................................................................................................................................................... 3.2 Having a work plan for
). operation only when the SEC Office verifies that: (1) the licensee has arranged for the work system and personnel to be ready in undertaking the business as shown in its application except where there is any
Qualifications and Additional Prohibited Characteristics of Personnel in the Capital Market Business Clause 139 Personnel in the capital market business shall be persons who [i] have ability and work experience
equivalent position called otherwise, and such person shall be responsible for a line of work relating to securities services, securities operation, supervision of securities operation, or research on
director, a branch manager, and also means any persons holding equivalent position called otherwise and such person shall be responsible for a line of work relating to derivatives services, derivatives