) “Department director” means any person who is responsible for the internal operation of a department in the company; (6) “Work experience” means work experience in a financial institution or other organization
the Office 4.1 Eligible applicants (a) In respect of training course or seminar, the organizer such as training institutes or securities companies shall be the person to submit application to the Office
data and information system in accordance with Chapter 3; (4) information communications security via computer network systems and operations security with respect to information systems in accordance
licensed to undertake the derivatives business by a regulatory agency on derivatives in a foreign country which is a member of the International Organization of Securities Commissions (IOSCO); (5) “ investor
derivatives broker in the first paragraph, derivatives broker shall trade in derivatives only with institutional investor counter party. Clause 4. The provision of Clause 12 only with respect to an arrangement
and category B investor contact shall have education and/or work experience and knowledge on related businesses as well as rules and regulations with respect to investor contacts as specified in the
companies If the Company has subsidiaries or associated companies, the following information shall be disclosed: (1) Policy on operational organization within the group of companies; (2) Shareholding diagram
in contacting investors in each category the company is required to assign separate personnel to do the task. This causes inflexibility in providing services to investors and overlapping with respect
2/1: (1) providing a complete work system ready to undertake the business of investment advisory service approved by the Office, which includes an internal control system in respect of giving advice
that the basis of rules and regulations which would serve as management standards must be set out. In this respect, management companies, which are entrusted by their customers, shall manage the