the company to select a person with knowledge and abilities suitable to act in the capacity so appointed. The person shall have no record of misconduct and behaviour which may affect to image of the
knowledgeable and competent persons. 9. Supporting staff in developing knowledge, skills and abilities required to perform the assigned tasks including the evaluation of such knowledge and skills. The development
function will be ready. Such personnel shall have knowledge, abilities and experiences suitable for the assigned tasks and shall have understanding of general laws related to the professional. The approved
experience with relevant regulatory or reporting requirements, or the ability to gain the necessary skills and knowledge effectively; · The firm has sufficient personnel with the necessary competence and
will be ready, and such personnel shall have knowledge, abilities and experience appropriate for the nature of the responsible jobs and shall have integrity, honesty, professional ethics, fundamental
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
capabilities fully and cautiously with sufficient information and referable evidence; (c) members shall disclose to clients any case where the members have an interest, whether directly or indirectly, in any
granted for a limited term and renewal of such approval shall be considered by the SEC Office on the basis of investor contacts’ professional skills and knowledge, the SEC Office has issued guidelines for
Information on the Board of Directors Describe the composition and basic information of the Board of Directors that reflect the qualifications, capabilities, independence and diversity of expertise, sex and age
Office. Clause 10. The securities companies are allowed to upgrade its online branch office to full-service branch office provided that on the date the securities company upgrades its branch, it meets the