information similar to that submitted to investor or home regulator by such person as required by law or regulations, providing that [person responsible for undertaking of foreign collective investment scheme
company shall segregate assets under its custody as assets of clients in not less than the following amount: (1) Money: the amount of money required to be segregated each day shall not be less than the
directors and the audit committee play a critical role in creating a mechanism to verify for the reasonableness of important transactions of listed companies; 4. Listed company: Listed companies are required
. ( Answer this question is not required if the company does not invested in the subsidiary or associated companies) 12.5 The company assigns roles and responsibilities that executives and employees are to
(UNOFFICIAL TRANSALTION) Qualifications of Applicants for Approval of Investment Consultant on Complex Products Type 1 No. Relevant Knowledge Qualifications List of Required Examinations1 (1
Investment Analysis on Technical Factors List of Required Examinations1 (1) Fundamental Knowledge (2) Related Rules and Appropriate Investment Advisory (3) Knowledge on Securities2and Derivatives (4) Knowledge
Experience1 List of Required Examinations2 Investment Analysis on Securities3 Related Rules on Investment Analysis 1 Passed Level 1 or higher of the Certified Investment and Securities Analyst (CISA) or
(UNOFFICIAL TRANSALTION) Qualifications of Applicants for Approval of Investment Planner No. Relevant Knowledge Qualifications List of Required Examination 1 (1) Fundamental Knowledge (2) Related
Experience1 List of Required Examinations2 Investment Analysis on Securities3 and Derivatives Related Rules on Investment Analysis 1 Passed Level 1 or higher of the Certified Investment and Securities Analyst