hasbasic understanding of general laws related to the profession. The qualifications will be considered from the personnel’s: □(2.1) First name, last name, and education; □(2.2) Work experiences, given with
appraising, it shall adjust such items to demonstrate total. If total result in loss, it shall demonstrate the amount of cash in the parenthesis. 1.4 Gain (loss) on Derivatives trading means gain or loss on
Office; (3) calculate the market prices of derivatives held by a client including any profit or loss from positions on derivatives in order to adjust the margin value of the client at least at closing time
anti-money laundering authority as high risk business/ profession; (7) a client who is categorized as higher-risk categories by the anti-money laundering authorities or the Securities Industry
manager Manager Senior Junior Expert in........ Expert in........ Total * The Audit Firm may adjust the details of its position structure by identifying each sublevel of position (if any). ** Specify the
not personal in nature and needs no capability of trustee’s profession; (3) it is a transaction that a reasonable prudent owner of the property of the same characteristics as the trust property, who
evaluation shall be reported to the Board or the assigned working group periodically as deemed appropriate. The evaluator as such may be insiders or outsiders of companies. 8.4 In order to adjust the BCP to be
in its practice of investment management. It should employ knowledge, ability and skills as a profession in management of investment under different situation, for instance: (1) Employment of personal
servicing agreement, the intermediary shall refuse to provide any service or limit scope of providing services. Clause 37 An intermediary shall review or adjust received information as prescribed in Clause 31
provide any service or limit scope of providing services. Clause 37 An intermediary shall review or adjust received information as prescribed in Clause 31 to be current at reasonable time or when it appears