period was instead set as the period for acceptance of his re-application for approval as capital market personnel, effective as from October 9, 2014.
of suspension period was instead set as the period for acceptance of his re-application for approval as capital market personnel, effective as from October 27, 2014. For {B}'s case, the SEC suspended
countersigning of the Provisional Acceptance Certificate for the CFP; • The Company or Subsidiary shall be entitled to terminate the agreement if the Company or Subsidiary did not consent to any material event
concerning Rules on Application for Approval and Granting the Establishment of Branch Offices of Intermediaries . Clause 39 In providing services for acceptance of trading orders of capital market products
) the information for the purpose of knowing and categorizing type of client shall be revised and updated within a period of time specified by the Association1, with an approval of the SEC Office, except
every firm passed the six key elements with highest average score in the area of client acceptance and continuance (A&C) where most firms already have in place engagement acceptance procedures that take
3. Testing (System Testing/System Integration Testing) to verify the interactions between the modules of a software system 4. User Acceptance Test (UAT) 3. Testing (System Testing/System Integration
AQIs ) 1 % 2564 2563 1 (Leadership Responsibilities for Quality within the Firm) ( ) (1) 2 (Relevant Ethical Requirements) ( ) (3) 3 (Acceptance and Continuance of Client Relationships and Specific
2562 1 (Leadership Responsibilities for Quality within the Firm) ( ) (2) 2 (Relevant Ethical Requirements) ( ) ( ) 3 (Acceptance and Continuance of Client Relationships and Specific Engagements) (1) (3