SEC Office shall have the authority to specify the timeframe or conditions for its consideration of subsequent applications by taking into account the significance of the prohibited qualifications
the duty as an ASEAN Investment Analyst or ASEAN Investment Consultant, subject to the type of personnel he/she wish to perform. 2. The Professional shall be person who does not possess the prohibited
meaning as defined in the Notification of the Capital Market Supervisory Board governing qualifications and prohibited characteristics of directors and executives of securities company. (2) “Fund Manager
firm or equivalent; (3) being attached to only one audit firm and such audit firm shall have the characteristics as prescribed by Clause 11; (4) not possessing any prohibited characteristics as
” shall have the same meaning as defined in the Notification of the Capital Market Supervisory Board governing qualifications and prohibited characteristics of directors and executives of securities company
/2548 Re: Qualifications and Prohibited Characteristics of an Executive of a Derivatives Business Operator dated 13 September 2005 stated that an appointment or the consent to have any person to be or to
Prohibited Characteristics of an Executive of a Derivatives Business Operator dated 13 September 2005 stated that an appointment or the consent to have any person to be or to act as a director, manager or
. KorThor/Nor/Khor. 37/2548 Re: Qualifications and Prohibited Characteristics of an Executive of a Derivatives Business Operator dated 13 September 2005 stated that an appointment or the consent to have any
possession of prohibited characteristics. − ✓ Only examination on related rules is required. − Remarks: 5 Application must be submitted within 5 years as from the expiration date of the previous approval. 6 A
discharged the executive or personnel responsible for the cause of prohibited characteristics of the applicant. 4.6 Having not deliberately concealed the financial status or the operating result during the