conflicts of interest; (b) not be an employee, staff, advisor who earns salary, or controlling person of the securities company, parent company, subsidiary company, affiliate company, or person who may have
continuity with suitability, reliability and effectiveness in order that the intermediaries are able to service with the best interest of customers and that the intermediary’s personnel are able to work
to respond to the new outbreak as follows: After You implemented policy according to plan in respond to the COVID-19 outbreak including: 1. Effective cost control: controls employee-related expenses
promoting market conduct as an organizational culture; (2) product development that is suitable for customers and sales staff abilities, as well as sales channels, operational systems and control; (3
, parent company, subsidiary company, affiliate company or person who may have conflicts of interest; (b) not be an employee, staff, advisor who earns salary, or controlling person of the securities company
Directors and Executives of Derivatives Business Operators (No.3) dated 15 September 2010. (Translation) 3 (b) not be an employee, staff, advisor who earns salary, or controlling person of the derivatives
cases: (1) appointment of infrastructure fund’s personnel as follows: (a) infrastructure fund manager who perform duty of making investment decision or divesting of infrastructure asset of infrastructure
following manual or guidelines for its personnel: (a) organisational structure of company; (b) roles, duties and the extent of responsibilities in extent of each staff; (c) roles, duties and responsibilities
of the company; (3) prepare the following manual or guidelines for its personnel: (a) organisational structure of company; (b) roles, duties and the extent of responsibilities in extent of each staff