role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which may cause: (a) negative image to the
to remain fit and proper for the role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which
able to efficiently supervise the conduct of its agent, the SEC Office may not allow the management company to further appoint such person as agent, and in case of not allowing, the SEC Office shall
able to efficiently supervise the conduct of its agent, the SEC Office may not allow the management company to further appoint such person as agent, and in case of not allowing, the SEC Office shall
, but there is a certain fact appeared to the SEC Office which is reasonably suspicious that the management company may not be able to efficiently supervise the conduct of its agent, the SEC Office may
each transaction. (12)3 repealed; (13)2 “connected person” means the following persons; (a) connected person under the Notification concerning Conduct Which May Constitute a Conflict of Interest in the
each transaction. (12)3 repealed; (13)2 “connected person” means the following persons; (a) connected person under the Notification concerning Conduct Which May Constitute a Conflict of Interest in the
conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties in
intermediary obligates to operate its businesses properly, fairly and in compliance with codes of conduct and professional standards and in order that an intermediary’s services are reliably and trustworthy, the
informs you that the AMLO, the core agency with a duty to supervise matters concerning money laundering, has issued rules with details whereby intermediaries are required to establish a client acceptance