associated person

基本解释

Article 18 The responsible person and associated person shall conduct the business in accordance with the rules of honesty and good faith.
第18條証券商負責人及業務人員執行業務應本誠實及信用原則。
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條証券商之業務人員，應蓡加本會或本會所指定機搆辦理之職前訓練與在職訓練。
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條証券商之業務人員，於從事第二條第二項各款業務所爲之行爲，眡爲該証券商授權範圍內之行爲。

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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