Printable Format - Laws and Regulations Limited BDU |- Licensing |- Registered Capital (Section 96) |- Business Operation Rules |- Capital Adequacy Requirements |- Executives / Personnel
client's assets were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore revoked the approval of {A} as capital market
assets were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore revoked the approval of {A} as capital market investment
credibility of capital market business personnel, and failed to perform duties responsibly with professional due care, which were deemed prohibited characteristics of personnel in capital market business*. Such
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force may continue to perform their duty, provided that the intermediary shall arrange for such personnel to attend a training course on foreign currency risk organized by an agency recognized by the SEC
Notification comes into force may continue to perform their duty, provided that the intermediary shall arrange for such personnel to attend a training course on foreign currency risk organized by an agency
date on which this Notification comes into force may continue to perform their duty provided that the intermediary shall arrange for such personnel to attend a training course on foreign currency risk
denominated in foreign currency prior to the date on which this Notification 9 comes into force may continue to perform their duty provided that the intermediary shall arrange for such personnel to attend a