Clause 15/3, the examination and certification documents of the mutual fund supervisor shall also be attached to the written request for a resolution or the written notice of the meeting; (3) have the
verification and examination. CHAPTER III Custody of client’s assets Clause 17. A securities company shall segregate the assets under its custody as customer’s assets not less than the followings: (1) money; the
) -5- Clause 16. A securities company shall keep the information and documents related to the custody of client’s assets at least two years for the Office’s verification and examination. CHAPTER III
submission of the application. (b) Possessing qualifications and work experiences as follows: 1. Having passed the level 1 examination of Chartered Financial Analyst (CFA) or Certified Investment and
standards within two years prior to the date of submission of the application. (b) Possessing qualifications and work experiences as follows: 1. Having passed the level 1 examination of Chartered Financial
for more clarity in practice and for the SEC Office’s examination of such matters. Clause 31 In cases where the SEC Office finds that a securities company violates or fails to comply with this
in detail relating to the matters prescribed in this Notification for more clarity in practice and for the SEC Office’s examination of such matters. Clause 31 In cases where the SEC Office finds that a
for a resolution or the written notice of the meeting, whichever the case may be. In case of the execution of a transaction under the second paragraph of Clause 15/3, the examination and certification