consist of at least six [6] hours’ study on derivatives business knowledge. (2) submit to the Office the renewal application, at least one month but not exceeding four months, prior to the expiry date as

management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the

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

employing knowledge and ability as a professional under different situation, being independent in making investment decision and having diversified investment in order to reduce investment risk, etc. (2) The

: .......................................................................................... 4. Academic degree(s) ( Bachelor's degree in....... (FIELDS OF STUDY)........ from ….(INSTITUTION) ............. (NAME)................ ( Master's degree in .......... (FIELDS OF STUDY)....... from

decision to invest, the investor should study in detail before making investment decision; (4) providing knowledgeable and expert personnel to explain the information on mutual fund rating upon enquired; (5

outsourcing thereof. Clause 13 An intermediary shall employ personnel in capital market business in sufficient amount for undertaking its business, with the knowledge, skill and expertise necessary for

granted for a limited term and renewal of such approval shall be considered by the SEC Office on the basis of investor contacts’ professional skills and knowledge, the SEC Office has issued guidelines for

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

personal acts becoming liable to such undertaking of securities business or derivatives business: (1) a person giving advice that involves expression of opinions or sharing of knowledge or experience in