show the possibility of providing innovative financial services, including the research results on potential risks from the experiment; (6) having no record of violating or failing to comply with the
a negligence of reasonable performance of duty in supervising persons under the line of command to refrain from violating or failing to comply with the laws governing securities and exchange or the
under the line of command to refrain from violating or failing to comply with the laws governing securities and exchange or the professional ethics or standards as stipulated by an association under the
professional codes of ethics of derivatives business, and measures for taking actions against persons violating or failing to comply with the rules and professional codes of ethics. In this regard, the
responsibility, due care and loyalty including breaching or failing to comply with the laws, objectives or articles of association, and the resolutions of the board of directors or the resolutions of the
not have the qualifications or possess the following prohibited characteristics within 7 business days as from the date when the intermediary becomes aware or should be aware of such fact: (1) failing
retrospective behavior for no more than 10 years: (a) breaching the duty of director or executive in performing with responsibility, due care and loyalty including breaching or failing to comply with [relevant
relating to disciplinary punishment for members’ demeanor to the SEC Office without delay; (b) disclosing information relating to [i] violations or offences in connection with asset appraisal or failing to
. Tor Lor Thor. 70/2561 Re: Rules on Personnel in the Capital Market Business (No.10) dated 24 October 2018 (effective on 1 January 2019). 13 (1) failing to have the qualifications or possessing the