nature of deceit or dishonesty or irresponsibility, carelessness in protecting clients’ benefits or lack of cautiousness or unfair or unreliable business conducts; (4) Be able to show that its systems for
may affect the financial conditions or operations of the applicant; (3) Being able to show that at least one of its directors has work experience of no less than three years relating to gold; (4) Being
function will be ready. Such personnel shall have knowledge, abilities and experiences suitable for the assigned tasks and shall have understanding of general laws related to the professional. The approved
business value chain 3.2.1 Business value chain Describe the characteristics of the business value chain that show the relationship of the key stakeholders with the activities related to business operation
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
perceive the client ’s investment objective, knowledge, understanding and experience regarding securities investment in conjunction with the consideration of securities dealing transactions and giving of
the firm assures that all staff has sufficient accounting and auditing knowledge enough to perform their audit work? 12 Does the firm conduct significant amount of in house training? 13 Does the firm
brokerage services on listed securities, shall come into force as from 1 January 2016; (3) Clause 30, which relates to knowledge test of clients who are interested in investing or entering into a transaction
granted for a limited term and renewal of such approval shall be considered by the SEC Office on the basis of investor contacts’ professional skills and knowledge, the SEC Office has issued guidelines for