derivatives trading, including the pre-and post- transaction information under Clause 8(2), for a period of not less than ten years from the day the information is obtained or relevant action taken; 10 (2) for
taken into consideration. Said regulations shall include at least the following matters: (1) policies on prevention and handling of conflicts of interest; (2) adequate measures to prevent directors
business operation under Clause 17, for a period of not less than ten years from the day the information is obtained or relevant action taken; (2) for a business continuity plan under Clause 22(2), for a
refresher course must be taken consecutively to the previous one at least once every 2 calendar years of the approval obtained from the SEC Office.
than 2 years as of the application date; a refresher course must be taken consecutively to the previous one at least once every 2 calendar years of the approval obtained from the SEC Office. (UNOFFICIAL
Knowledge (2) Related Rules and Appropriate Investment Advisory (3) Knowledge on non-complex capital market products 1 Obtained a bachelor’s degree ✓ ✓ ✓ 2 Passed Level 1 or higher of the Certified Investment
unit related to capital market.5 − − − 7 Fund manager. − − − 8 Former capital market investment analyst on fundamental factors who later obtained an approval as investment analyst or investment planner
Company Act.? In this regard, the SEC has taken into consideration the DBD?s ruling in conjunction with Section 89/7 of the SEA which prescribes duties of directors and executives of listed companies and