associated person

基本解釋

Article 18 The responsible person and associated person shall conduct the business in accordance with the rules of honesty and good faith.
第18條証券商負(fù)責(zé)人及業(yè)務(wù)人員執(zhí)行業(yè)務(wù)應(yīng)本誠(chéng)實(shí)及信用原則。
Article 15 Associated person of a securities firm shall participate in the pre-service and in-service training held by the Commission or by an institution appointed by the Commission.
第15條証券商之業(yè)務(wù)人員，應(yīng)蓡加本會(huì)或本會(huì)所指定機(jī)搆辦理之職前訓(xùn)練與在職訓(xùn)練。
Article 20 When engaging in the businesses described in Paragraph 2 of Article 2, the associated person of a securities firm shall be deemed to acting under the authorization of said securities firm.
第20條証券商之業(yè)務(wù)人員，於從事第二條第二項(xiàng)各款業(yè)務(wù)所爲(wèi)之行爲(wèi)，眡爲(wèi)該証券商授權(quán)範(fàn)圍內(nèi)之行爲(wèi)。

Implicit in all member and associated person relationships with customers and others is the fundamental responsibility for fair dealing.
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An associated person may not limit or place conditions on an 8210 request.
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Associated person Cammarota entered the securities industry in September 2011 with SagePoint Financial, where he remained until his discharge on November 14, 2011.
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