supervision 2.6 Quality Assurance & Review Increasingly, complicated transactions in the financial market especially those in connection with listed companies and intermediaries such as securities houses have
in the category of investment advisory service; (3) be able to show that its human resource will be prompt and adequate with a view to responsibility for investment advisory service. Where the
system, record keeping system and system for making reports concerning venture capital management; (4) be able to show that its human resource will be prompt and adequate with a view to responsibility for
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
operational system will be prompt for operating securities business in the category of private fund management; (6) be able to show that its human resource will be prompt and adequate with a view to
that its operational system will be prompt for operating securities business in the category of mutual fund management; (5) be able to show that its human resource will be prompt and adequate with a view
SEC is of the view that limited company or public limited company to be established has qualifications as specified in this Ministerial Regulation, the SEC shall recommend the Minister to approve
attached with supplementary documents as specified by the SEC. Clause 3 In case where the SEC is of the view that limited company or public limited company to be established has qualifications as specified
) Types and Scope of Duties Qualifications Qualifications of Applicants for aApproval of Investment Planner Qualifications of Applicants for Approval of Investment Consultant on Complex