appoint competent officers to perform duties in accordance with this Act. Such ministerial regulations shall come into force upon publication in the Government Gazette.

establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent

market conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties

main objective is to promote and develop securities businesses in the category of investment management; “Private fund manager” means a director or an employee of a securities company licensed to

Securities and Exchange Commission; □ A limited company or a public limited company whose main principles are in the business of securities or financial instruments custody and of other businesses as approved

branch office, comprising at least an efficient system for operational management, compliance management, information management and preparation of competent personnel. 4.4 Having the result of the latest

comprising of, at least, the following particulars: (1) organisational structure of the company; (2) availability of competent personnel; (3) fund management operation system; (4) internal control system

in the Securities Exchange. "competent officer" means a person appointed by the Minister to execute the duties in accordance with this Act and whose name is published in the Government Gazette. "Office

of the SEC. “competent officer” means any person appointed by the Minister to perform duties under this Act. “SEC Office” means the Office of the Securities and Exchange Commission under the Securities

procedures in a remote location to escape any damage from a disaster at the main site, which should be given an appropriate level of protection as described in the section of Physical and Environmental