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条证券商负责人及业务人员执行业务应本诚实及信用原则。
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条证券商之业务人员，应参加本会或本会所指定机构办理之职前训练与在职训练。
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条证券商之业务人员，于从事第二条第二项各款业务所为之行为，视为该证券商授权范围内之行为。

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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