Personnel Director & Executive - - - - - - Member of fund investment committee - - - - - - Fund manager - - - - - - Investment Planner - - - - - - Investment Consultant /1 - 6 12 - 4 10 Other Professionals
qualification under (3) or (5), the securities company may be granted an approval from the Office only when the securities company cause the relevant executive or personnel who rendered the company into such
the Office only when the securities company cause the relevant executive or personnel who rendered the company into such disqualification to leave the company. Clause 5. The securities company shall
under (3) or (5), the derivatives broker may be granted an approval from the Office only when the derivatives broker cause the relevant executive or personnel who rendered the company into such
executive or personnel who rendered the company into such disqualification to leave the company. Clause 5. The derivatives broker shall arrange for the full-service branch office to have a branch office
the Securities and Exchange Commission on prohibited characteristics of securities business personnel. Clause 5. When it appears that any executive of a securities company possesses any prohibited
the Securities and Exchange Commission on prohibited characteristics of securities business personnel. Clause 5. When it appears that any executive of a securities company possesses any prohibited
establishing the branch office, as the case may be, or otherwise having discharged executive or personnel who has to be responsible for the cause that made the intermediary has been determined to have prohibited
office or before the date of submitting requisition for establishing the branch office, as the case may be, or otherwise having discharged executive or personnel who has to be responsible for the cause
establishing the branch office, as the case may be, or otherwise having discharged executive or personnel who has to be responsible for the cause that made the intermediary has been determined to have prohibited