associated person

常见例句

雙語例句

• 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。

權威例句

• Implicit in all member and associated person relationships with customers and others is the fundamental responsibility for fair dealing.
  FORBES: Suitability Paperwork Undoes Westrock Branch Manager
• An associated person may not limit or place conditions on an 8210 request.
  FORBES: FINRA Bars Broker For Loans From Elderly Widows And Family
• Associated person Cammarota entered the securities industry in September 2011 with SagePoint Financial, where he remained until his discharge on November 14, 2011.
  FORBES: FINRA Bars Exam Taker For Cheating
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