SEC Office. Clause 17 The foreign personnel under Clause 16 shall be fully qualified as follows: (1) being reliable and highly capable of providing information or advice on the capital market products
website of the SEC Office. Clause 17 The foreign personnel under Clause 16 shall be fully qualified as follows: (1) being reliable and highly capable of providing information or advice on the capital market
out on the website of the SEC Office. Clause 17 The foreign personnel under Clause 16 shall be fully qualified as follows: (1) being reliable and highly capable of providing information or advice on the
, securities dealing or securities underwriting; (2) a person licensed to undertake the derivatives business in the category of derivatives agent or derivatives dealer; Repealed 3 ; “Notification on Standard of
, collateral requirement and the preparation for readiness to cope with price volatility, etc.; (f) legal risk management, such as by using standard form contract or otherwise there shall be specifying the
marking to market, collateral requirement and the preparation for readiness to cope with price volatility, etc.; (f) legal risk management, such as by using standard form contract or otherwise there shall
under Chapter 1 and prohibited characteristics under Chapter 3; (b) stipulating or adopting standards and ethics regarding appraisal profession which are reliable and having mechanism to improve such
comply with this Notification under the same standard. In this regard, the SEC Office may impose the detail for consistence with the category of any intermediary or capital market products ; (2) issuing
) receiving or being going to receive reward or other benefit, whether in form of monies, goods or services, from any person other than standard commission or fee for its services; (4) receiving or being going