irresponsibility, carelessness in protecting clients’ benefits or lack of cautiousness or unfair or unreliable business conducts; (4) Be able to show that its systems for operating fund supervisor business, at least
matching orders or arranging for counter parties, or by way of providing a trading facility for or facilitating those having intention to trade in derivatives to be able to agree upon or enter into a
pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of
market will pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their
investor contacts who play vital roles in the capital market will pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This
that the securities company is able to demonstrate establishment of the organizational structure which does not cause conflicts of interest or provision of an effective measure to prevent such conflicts
be or perform duty as its executive or advisor upon being granted approval from the Office on condition that the securities company is able to demonstrate establishment of the organizational structure