judgment regardless of whether the sentence has been suspended and have been discharged for a period of less than three years after being sentenced in the offences under law on securities and exchange or law

seeking an approval to act as a mutual fund manager shall not possess any of the following prohibited characteristics: (1) Being a bankrupt; (2) Having been imprisoned by a final court judgment for an

” means a person who performs the duty of assisting decision making to invest or trade capital market product and could access information on investment by virtue of performing such duty, regardless by

decision making to invest or trade capital market product and could access information on investment by virtue of performing such duty, regardless by whichever name of position of such person is called

) clients’ relationships of trust An intermediary shall take reasonable care to ensure the suitability of its advice and discretionary decisions for any client who is entitled to rely upon its judgment of

following prohibited characteristics: (1) being an incompetent or quasi-incompetent person; (2) being or having been a bankrupt; (3) having been imprisoned by the judgment of a court which is final

professional judgment · Understanding of the firm’s quality control policies and procedures 9 Does the firm set up audit team by industries of clients? 76

investors as follows: “Prior to making an investment decision, investors should carefully exercise their own judgment when considering detailed information relating to the issuer and the terms of the

or person who may have conflicts of interest that may impede the exercise of independent judgment, and any relationship that causes the inability to freely give comments on the operation of the

person; (5) not being accused or proceeded in the criminal case by the authorized agency under its law, or has a final judgment of offences in operating derivatives business without license or registration