) Being able to show that it has established effective policy and measures for prevention of conflicts of interest, improper access to inside information among work units and personnel (Chinese Wall
of the skills and knowledge in relation to the performance of duty as investor contact using three criteria being 1. Participation in activities accepted by the Office, 2. Further education and 3
Objectives of practice guidelines for business continuity management The SEC provides this practice guidelines for being a guideline in practice through which covers a critical matter of business continuity
proprietary trading under Clause 12(8) of the Notification on Standard Conduct of Business : (1) risk management system; (2) investment control system; (3) system for preventing access to inside information
institutional client s; (6) “ inside information ” means material facts which affect the change in the price of securities but have not yet been disclosed to the public and a securities company has acquired
control and good practice; (3) being able to show that the capital market personnel performing duties in any of the following areas have the qualifications and do not have any prohibited characteristics
sound business control conduct; (3) Being able to maintain capital funds and set aside reserve capital in compliance with law establishing such legal entity or law controlling business undertaking of such
the duty of a director, a manager or a person with power of management, or an advisor: (1) being or having been a bankrupt; (2) having been imprisoned by the judgement of a court which is final for an
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result to financial status of an intermediary ; (b) affected trade of capital market products deviated from regularity; (c) being the manner of inappropriate investment as a professional; (d) bringing