morality, the SEC has the power to refuse registering the persons as directors of the association. When it is apparent that the board of directors, directors or members of the associations undertake any
person with proportion or characteristics as specified by the SEC; (2) have honest executives as apparent from working records, who are capable and have experiences beneficial to business operation; (3
of inter - dealer brokerage shall- (1) not have shareholder or controlling person with proportion or characteristics as specified by the SEC; (2) have honest executives as apparent from working records
, address, telephone number, etc. and any personal data that indirectly identifies a person, e.g., educational background, training, etc. as long as it is necessary for the purposes of collection of such
professionals/gatekeeper Company secretary Aud i tor Company secretary Qaulification Q: Does the Securities and Exchange Act specifies the qualifications of company secretary? What educational backgrounds or