the company to select a person with knowledge and abilities suitable to act in the capacity so appointed. The person shall have no record of misconduct and behaviour which may affect to image of the
Notification from the date when it comes into force. Clause 17. From the date when this Notification has come into force until 31 December 2001, any person who has passed the fundamental knowledge examination or
application within the period specified as follows shall be exempt from having the qualifications under Clause 5: (1) Being a person who has passed the examination on knowledge of investment advisor from
clients: (1) any person who is sixty years old or older; (2) any person with limited knowledge on finance or no investment experience; and (3) any person with limitations on communication or decision-making
services suitable to each client carefully, especially with special care to the following clients: (1) any individual who is sixty years old or older; and (2) any person who has little financial knowledge
securities company or derivatives intermediary, excluding venture capital fund management company, inter-dealer brokerage company and registered derivatives intermediary. “ client ” means a person who uses
calculating net asset value of fund or securities-clearing (back-office function) including the segregation of reporting line of the personal in the segregated units and there should be a person responsible for
derivatives intermediary. “ client ” means a person who uses services of intermediary , including any fund , unit holder and member of provident fund. “ fund ” means a mutual fund or a private fund. “ capital
management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the
of the skills and knowledge in relation to the performance of duty as investor contact using three criteria being 1. Participation in activities accepted by the Office, 2. Further education and 3