: .......................................................................................... 4. Academic degree(s) ( Bachelor's degree in....... (FIELDS OF STUDY)........ from ….(INSTITUTION) ............. (NAME)................ ( Master's degree in .......... (FIELDS OF STUDY)....... from
intermediary shall study information relating to capital market products proposed to a client , and shall have the process to ensure that a person responsible for introducing services acknowledges and
_____________________________ Clause 41 An intermediary shall study information relating to capital market products proposed to a client , and shall have the process to ensure that a person responsible for introducing services
) a warning stating that “investment contains certain risks; investors are recommended to study related information before making investment decision”; (3) in advertising long-term equity fund and
recommended to study related information before making investment decision”; (3) in advertising long-term equity fund and retirement mutual fund, the securities company shall have a warning statement that
; (5) having the study or research results that show the possibility of providing innovative financial services; (6) having no record of violating or failing to comply with the regulations or conditions
from the approval date; (5) having the study or research results that show the possibility of providing innovative financial services; (6) having no record of violating or failing to comply with the
comprehensively study the contract specification, i.e. category or type of underlying assets or variables, contract size/unit/multiplier, minimum price movement, daily price limit, last trading day, settlement day
regulations at least fifteen [15] hours in every two calendar years as from the calendar year of obtaining an approval from the Office, of which the syllabus consist of at least three [3] hours’ study on rules
number of eligible service users; (6) specifying a period of participating in the regulatory sandbox to be no longer than one year as from the approval date; (7) having the study or research results that