condition that the person giving advice does not receive a fee or a reward, either directly or indirectly, for such giving an opinion or sharing knowledge or experience, for example, not receiving a share of

the firm assures that all staff has sufficient accounting and auditing knowledge enough to perform their audit work? 12 Does the firm conduct significant amount of in house training? 13 Does the firm

relevant ethics. 5. Having a performance appraisal system of personnel for every unit. 6. The personnel should have knowledge and understanding of the responsible work e.g. the compliance officer should have

sharing knowledge, making understanding or notifying facts relating to capital market, investment, manufacturing and service sectors, or overview regarding each of or overall capital market products ; (2

of related parties. · ethical requirements; · the firm’s competence to conduct the audit , for example: · Firm personnel have knowledge of relevant industries or subject matters; · Firm personnel have

sharing knowledge, making understanding or notifying facts relating to capital market, investment, manufacturing and service sectors, or overview regarding each or overall capital market products ; (2) the

management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the

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

document and evidence, including considering of investment objective of the customer, knowledge, understanding and experience in derivatives trading, financial condition, and debt repayment capability of

Operational Matters and Part II : The Product Restrictions of Qualifying CIS as prescribed in Appendix C : Standards of Qualifying CIS of the Memorandum of Understanding on Streamlined Authorisation Framework