broker is part of a financial conglomerate with its shareholding structure, internal group audit and supervision carried out by another regulatory body as prescribed and notified by the SEC Office, the SEC
have the same meaning as defined for the term in the Notification of the Capital Market Supervisory Board regarding Rules on Securities Offering through Crowdfunding. Clause 2 In the case where a group
appropriate experience and ability, and necessary authority, to assume that responsibility. If yes, is their appropriate experience and ability sufficient to identify and understand quality control issues and
client [or group of clients ] over the interest of another client [or another group of clients ] in the manner of unfair treatment, although both clients [or both groups of clients ] are classified in the
shall arrange following up and compliance with the said policies and plans. In this regard, the Board and the senior management may appoint a working group as a responsible person for operational works
Business Clause 13 Personnel in the capital market business shall be persons who [i] have ability and work experience and [ii] attend training courses or pass the examination of courses provided by the SEC
Business Clause 13 9 Personnel in the capital market business shall be persons who [i] have ability and work experience, [ii] attend training courses or pass the examination of courses provided by the SEC
to receive financial incentives in order to favor the interest of one client [or group of clients ] over the interest of another client [or another group of clients ] in the manner of unfair treatment
employing knowledge and ability as a professional under different situation, being independent in making investment decision and having diversified investment in order to reduce investment risk, etc. (2) The
must possess knowledge, ability and understanding in fund management business and the relevant rules and regulations, be a person of integrity and honesty and without any disgraceful record, and must