shall be exempt from having qualifications as specified in the first paragraph if the applicant has the following qualifications: (1) being manager of a securities company or any person holding equivalent
establish transparent and fair membership criteria, which shall focus on the suitability, financial status, performances, readiness, capability and professional codes of ethics of the applicants. Clause 15 A
person” means deputy manager, assistant manager, head of department, [and] branch manager, including a person occupies in a position being similar to those positions, by whatever name called, who is
as follows: (a) having the professional ethics of financial advisor, honesty, and integrity, being committed to going-concern operations, having understanding and being accountable to the public; (b
following qualifications: (1) Being executive of a securities company. This shall be limited to only one person for each securities company; or (2) Being mutual fund manager or private fund manager. Clause 6
accountability in accordance with the professional code of ethics, auditing standards, and other additional regulations prescribed by the law governing securities and exchange. Yours sincerely, Signature
edition of the Principles. They generally reflect the views of the ICGN membership, the majority being institutional investors responsible for assets under management in excess of US$18 trillion. The
the management of funds; or (b) being the position of director, manager of the management company, or any person holding equivalent position called otherwise who take the highest responsibility in the
conflicts of interest with the management of funds; or (b) being the position of director, manager of the management company, or any person holding equivalent position called otherwise who take the highest