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Summary of SPOT inspections on employee qualifications and knowledge levels
Summary of SPOT inspections on employee qualifications and knowledge levels
In accordance with the applicable regulations, asset management companies must ensure that the persons acting on their behalf have certain minimum qualifications and a sufficient level of knowledge. They must equip themselves with the resources and organisational structure needed to ensure compliance with their professional obligations in order to comply with the principles of protecting their clients' interests and market integrity.
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