e-service Online Submission See canceled document Executives of securities companies and personnel in securities business >> Approval and Qualifications Type Title Section See Document Status
, accounting and finance system, IT system, water and cleaning services (fees are varied by actual consumption). Pricing Criteria: Fee is calculated from cost of system and personnel plus margin, which is
Approval of independent professionals Quarter 2/2023 2 Number of active personnel in securities and derivatives businesses 2022 Last updated on 20 September 2023
member. The programs could be conducted in various forms such as seminars, study visits, secondment (recruiting Cambodian personnel to work at the SEC) or on-the-job training. In addition, the two
) preparation of the service agreement in respect of, for example, scope of conditions of service provision, customer’s rights, source of investment strategy; 3) availability of the appropriate personnel to
demonstrate high-standard qualifications including financial readiness, personnel and operating systems. The operations of successful applicants should comply with related international standards such as the
the key issues include competent personnel, professional code of conduct, effective risk management and sound financial condition.? ?Take client acceptance process, for example. It must cover the know
personnel. Therefore, investors should be extra cautious not to get involved in such form of investment. Currently, there is no approved digital token issuers as well as there are no such applications
of listed company, and possess prohibited characteristics as director or executive of listed company or personnel in the capital market throughout the period when he is still subject to the criminal