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
representative office in the Kingdom shall obtain an approval from the Office. The representative under the first paragraph shall undertake only those businesses specified in the approval. The provisions of
representative office in the Kingdom shall obtain an approval from the Office. The representative under the first paragraph shall undertake only those businesses specified in the approval. The provisions of
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
) 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
intermediary or the SEC Office. Clause 11 An intermediary intending to outsource function related to business operation to a third party shall obtain an approval from the SEC Office before proceeding with the
SEC Office. Clause 11 An intermediary intending to outsource function related to business operation to a third party shall obtain an approval from the SEC Office before proceeding with the outsourcing
SEC Office. Clause 11 An intermediary intending to outsource function related to business operation to a third party shall obtain an approval from the SEC Office before proceeding with the outsourcing