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
) seeking benefits from investors through her job position, (2) agreeing to trade securities or derivatives on her clients? behalf and (3) failing to perform duties or providing services honestly, as
allocation to directors, executives and related parties of the responsible underwriter is prohibited to prevent such persons from taking unfair advantage of their job position and duties related to securities
responsible underwriter is prohibited to prevent such persons from taking unfair advantage of their job position and duties related to securities allocation to seek personal gains for oneself or other persons
provide a measure for protecting information security and computer system and network which is sufficient for preventing an unauthorised person from accessing, acknowledging, utilizing or altering such
, utilizing or altering such information or system. Clause 7. The securities company must provide a controlling measure which is sufficient for the developed or modified application software to have a correct
results in creating, altering, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or any person
act which results in creating, altering, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or
derivatives broker shall submit clients in accordance with the rules specified in the notification of the SEC Office. Clause 5. Derivatives broker shall not engage in any act which results in creating, altering
record, affiliation, job positions, work experience, test/training records, certification numbers of locally certified public accountants/international certified public accountants, prohibited