continuity with suitability, reliability and effectiveness in order that the intermediaries are able to service with the best interest of customers and that the intermediary’s personnel are able to work
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
lodged by client and examination report of RHB OSK Securities, the SEC further probed into the case and found that {A} traded securities on behalf of a client of {B}. {B} was a {A}'s subordinate and took
Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, revoked the approval as securities investment consultant of {A} and set the period to accept her re
system, and arrange for such personnel to perform their functions in accordance with the established policy and procedures by meeting the following criteria: (1) educate all employees and contractors on IT
arrange for such personnel to perform their functions in accordance with the established policy and procedures by meeting the following criteria: (1) educate all employees and contractors on IT security
In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for
market personnel for 10 years, effective from 6 January 2020 onwards.Investors are strongly advised to be careful in their fund investment and request transaction evidence issued by banks or asset