- Expanding knowledge of staff The SEC pays special attention to the regular development of capacity and knowledge for its staff. This is to ensure that they have sufficient professional knowledge to discharge
qualifications and work experiences, complete the orientation course on accounting and finance, and maintain professional accounting development on a regular basis. This is to ensure that CFOs and chief
such funds with honesty and integrity by exercising their knowledge, competency and expertise with due care and prudence of the same standard or in the same manner as a professional. Clause 3 In managing
Definitions of Institutional Investor, Ultra-High Net Worth Investor and High Net Worth Investor. “fund” means a mutual fund, private fund or provident fund unless otherwise specified herein; “mutual fund
Committee members shall not be a civil servant holding a permanent position or regular salary, political official, member of the House of Representatives or member of the Senate and shall not be a person
regular salary, political official, member of the House of Representatives or member of the Senate and shall not be a person having material interest or stakes in performing duties in accordance with the
Office. Chapter 3 Operation ____________ Division 1 Client Contact, Solicitation, or Giving Advice and Professional Conduct _____________________ Clause 13 Repealed. Clause 13/1 The derivatives broker
accordance with the criteria prescribed and notified by the SEC Office. Chapter 3 Operation ____________ Division 1 Client Contact, Solicitation, or Giving Advice and Professional Conduct _____________________