intermediary in the category of derivatives investment management and shall obtain a prior consent from the client, who uses the service from the intermediary. 1 Amended by the Notification of the Capital Market
must possess knowledge, ability and understanding in fund management business and the relevant rules and regulations, be a person of integrity and honesty and without any disgraceful record, and must
approved by the Office must possess knowledge, ability and understanding in fund management business and the relevant rules and regulations, be a person of (Translation) 3 integrity and honesty and without
knowledge, ability and understanding in fund management business and the relevant rules and regulations, be a person of (Translation) 3 integrity and honesty and without any disgraceful record, and must
such person. The minimum information which the securities company shall take into consideration is as follows: (a) income, financial condition, and investment objective; (b) knowledge and understanding
A New Year Gift 2023 to the public, “SEC Crypto Academy” is designed as an online channel for the public to learn fundamental knowledge on digital assets, gain a better understanding of risks related
to get thorough understanding; taking actions to ensure that the information furnished in the tender offer are correct, complete, not misleading to the users of the information, and that no information
to get thorough understanding; taking actions to ensure that the information furnished in the tender offer are correct, complete, not misleading to the users of the information, and that no information
) If no, how does the firm obtain assurance that the work done is appropriate? 3 If the Service Delivery Center performs audit procedure for the firm, how does the firm direct and supervise individuals
international market and offer more investment choices for investors in both jurisdictions. In addition, the Memorandum of Understanding concerning mutual cooperation signed between the regulators in 1993 will be