regarding their Listed clients and if so, did this change the nature of services/fees charged? 11 Does the firm document its understanding with the client regarding the services to be performed by obtaining
responsible for making decision on derivatives trading and managing risks of derivatives trading, and such personnel shall have knowledge, understanding and experience that benefit responsible jobs. (2) having
consultant under a signatory member of the Memorandum of Understanding on the ACMF Pass under ASEAN Capital Market Professional Mobility Framework: (a) shares listed on an ASEAN stock exchange; (b) investment
on the list of Signatory A of the Multilateral Memorandum of Understanding Concerning Consultation and Cooperation and the Exchange of Information (“MMOU”) (“IOSCO MMOU”); (b) being a regulator of any
on the list of Signatory A of the Multilateral Memorandum of Understanding concerning Consultation and Cooperation and the Exchange of Information (“MMOU”) (“IOSCO MMOU”); (b) being a regulator of any
company shall proceed as follows: (1) buy or sell securities according to the bid and offer price, and shall make a clear understanding with the counterparty regarding the expiry time of such bid and offer
function related to business operation which, in the event that a service provider ceases to provide services, fails to continue operation or is unable to provide services appropriately, may affect the
aware of the necessity and the importance of compliance inspection including the understanding of the policy and the guideline; (2) Authorises the head of operational and business unit to monitor and
knowledge and understanding of the general law governing professional practices. Directors, managers and persons with power of management who are responsible for the work unit relating to the functioning as
providing services that involves the followings: (a) selecting and assigning personnel having knowledge and understanding of each type of capital market products or services to be seller or service provider