Questionnaire Leadership Responsibilities Ethical Requirements Acceptance and Continuance of Clients Relationship and Specific Engagements Human Resources Engagement Performance Monitoring Documentation
human resource will be prompt and adequate with a view to responsibility for investment advisory service. Where the applicant for securities business license in the category of investment advisory service
juristic person and a shareholder or a partner of the said juristic person who holds shares or partnership in such juristic person, either directly or indirectly, more than fifty percent of the total sold
juristic person and a shareholder or a partner of the said juristic person who holds shares or partnership in such juristic person, either directly or indirectly, more than fifty percent of the total sold
recent certificate of company registration issued by the partnership and company registrar, the Ministry of Commerce; (5) any relevant document specified by the SEC and published in the Government Gazette
recent certificate of company registration issued by the partnership and company registrar, the Ministry of Commerce; (5) any relevant document specified by the SEC and published in the Government Gazette
the category of private fund management; (6) be able to show that its human resource will be prompt and adequate with a view to responsibility for private fund management. Directors, managers and
of mutual fund management; (5) be able to show that its human resource will be prompt and adequate with a view to responsibility for mutual fund management. Clause 4 Any person holding more than ten
the category of private fund management; (6) be able to show that its human resource will be prompt and adequate with a view to responsibility for private fund management. Directors, managers and
capital management; (4) be able to show that its human resource will be prompt and adequate with a view to responsibility for venture capital management consideration on which shall be based on the company