or capital markets or other similar lines of work regardless of whether the operation of such lines of work is to provide services for other persons or for the benefit of the company itself; “Executive
or capital markets or other similar lines of work regardless of whether the operation of such lines of work is to provide services for other persons or for the benefit of the company itself; Published
offering of securities services, the securities operation or research on securities or capital markets or other similar lines of work regardless of whether the operation of such lines of work is to provide
registered person shall maintain qualifications as prescribed under Clause 2 and in cases where such qualifications cannot be maintained, such registered person shall notify the Office in writing and provide
person shall maintain qualifications as prescribed under Clause 2 and in cases where such qualifications cannot be maintained, such registered person shall notify the Office in writing and provide the
person shall maintain qualifications as prescribed under Clause 2 and in cases where such qualifications cannot be maintained, such registered person shall notify the Office in writing and provide the
) an uncooperative client who fails to provide identification document or other document/ information under the normal KYC/CDD process, or a client who produces doubtful evidence or documents which can
) an uncooperative client who fails to provide identification document or other document/ information under the normal KYC/CDD process, or a client who produces doubtful evidence or documents which can
official regulator; (4) an uncooperative client who fails to provide identification document or other document/ information under the normal KYC/CDD process, or a client who produces doubtful evidence or
interest of investors. (3) disclose or provide important and relevant information sufficient for investors’ decision making; (4) keep investors’ confidentiality; (5) carefully perform duties to avoid