gather information on name, last name, nationality, occupation, residential address, contacting address, name of ultimate beneficial owner, name of ultimate controlling person, name of the entity
hasbasic understanding of general laws related to the profession. The qualifications will be considered from the personnel’s: □(2.1) First name, last name, and education; □(2.2) Work experiences, given with
be a job description explaining duties and responsibilities of each unit and position. 3. There should be a clear segregation between the unit with investment management function and the unit with back
the company, regardless of the job title; (8) “Fund Manager” means fund manager approved by the Office of the Securities and Exchange Commission according to the notification of the SEC Office governing
responsibility in managing the company, regardless of the job title; (7) “Management Company” means the property fund management company; (8) “Company” means any limited company or public limited company and shall
job title; (5) “Training Institute” means training institutes accepted by the Office; Chapter 1 Scope of the Applicability ____________________ Clause 3 . This Notification shall not apply to the
individual, and shall be allowed to undertake a derivatives business only after a license from the SEC has been obtained. Any derivatives business operator which is a legal entity under Section 17 and engages
the company, regardless of the job title; “Fund Manager” means mutual fund manager or private fund manager; “Department Director” means any person responsible for the work of a department in the company
institution established in accordance with other laws, and after having obtained a license from the Minister upon the recommendation of the SEC. The formation of a limited company or of a public limited company
Obtaining the License _________________ Clause 8 A person who obtained precious metal derivatives brokerage license shall comply with the following conditions: (1) before commencement of precious metal