investment returns for clients, including through adopting of a Statement of Corporate Values. 2.1.3 Employing knowledgeable and capable staff and implementing an employee compen- sation architecture
more of the following methods: (a) assigning an employee who is capable of giving information to clients on standby at an office of the intermediary where clients contact for the distribution thereof; (b
employee who is capable of giving information to clients on standby at an office of the intermediary where clients contact for the distribution thereof; (b) arranging a communication system which clients can
an employee who is capable of giving information to clients on standby at an office of the intermediary where clients contact for the distribution thereof; (b) arranging a communication system which
clients in accordance with the following criteria: (1) disclose information on risks and characteristics of the bonds by one or more of the following methods: (a) assigning an employee who is capable of
market 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
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
maintain substantial and adequate financial resources continuously; (5) market conduct An intermediary shall undertake business in keeping with proper standards of market conduct; (6) competent staff
quality of audit. Accordingly, human resources as a whole are important factors which directly affect the quality of audit. The firm should employ competent personnel that has the capabilities, including