in a line of work relating to money market or capital market, or work experience in the management level that is beneficial to management of securities business or work experience from being an
bachelor’s degree or higher - ( - 3 the Certified Investment and Securities Analyst (CISA) Level 1, or the Chartered Financial Analyst (CFA) Level 1 - - ( Except having passed the CISA Level 1 4 the Certified
: .......................................................................................... 4. Academic degree(s) ( Bachelor's degree in....... (FIELDS OF STUDY)........ from ….(INSTITUTION) ............. (NAME)................ ( Master's degree in .......... (FIELDS OF STUDY)....... from
least bachelor’s degree or other academic degrees accepted by the Office of the Civil Service Commission (OCSC); (2) having work experience relevant to real estate businesses as well as useful and
engagement. To the extent appropriate and as required by applicable professional standards, these policies and procedures should cover planning, performing, supervising, reviewing, documenting, and
management or risk management of such investments, whether or not it is a central utility function and at any level, there shall be a procedure for requesting an approval from the intermediary’s board of
period except for those of similar activities. 2. Further education 2.1 Certified Investment and Securities Analyst (CISA) or the Chartered Financial Analyst (CFA) course (at least Level 1) during the past
contact; (2) Being a person who has passed the examination of knowledge for a person who sells or repurchases investment units level one or level two or the course for marketing officer organized by
Certified Investment and Securities Analyst (CISA) or the Chartered Financial Analyst (CFA) course at any level or graduate with a master’s degree or higher during the latest two calendar years prior to the
(1) or (2) is permissible when the intermediary deems necessary to the extent that it is not: (a) an appointment of third party to be an agent or a broker of a securities company under Section 100 of