Planning (CFP module 1 and module 2, curriculum approved by the SEC Office, or any others under remark 1)2 1 Qualified to apply for, or having obtained, an approval to be a capital market investment analyst
) …….. ………… ……………….. …………….. ……….. …….. ………… ……………….. …………….. ……….. …….. ………… ……………….. …………….. ……….. The company has already examined the curriculum vitae of the persons above, O thereby certifies that the persons applied for approval to be executives possess all qualifications without any prohibited
higher of CISA or CFA or CFP new curriculum.3 ✓ Except those having passed CISA Level 1 or higher. 3 Passed the Financial Risk Manager (FRM) examination. Local or foreign organization for a total period of
at least half of the curriculum comprising courses on finance, investment, accounting or economics. 3. Maintenance of status 3.1 Being securities firm executive or mutual fund manager or private fund
, finance, accounting or economics; (ii) Any field with at least half of the curriculum comprising courses on finance, investment, accounting or economics. 3. Maintenance of status 3.1 Being securities firm
the application date. ✓ Only an examination on derivatives is required except those having passed Level 2 or higher of CISA or CFA or CFP new curriculum.4 ✓ Except those having passed CISA Level 1 or
field with at least one half of the curriculum, based on number of subjects studied, comprising courses on finance, investment, accounting or economics. The Contacts who are granted the renewal of
emergency incidents which may cause major operational disruptions Examples of emergency incidents are classified into a group for clearness and being a guideline for intermediaries for analysing possible