, compliance and information management, including the readiness of personnel; (4) having the result of the evaluation by the SEC Office regarding the management of the operational risk and the customer
will enable the investors to receive factual, correct and not misleading information related to the sale of investment units or the fund management. Notification of the Office of the Securities and
and providing of services related to fund management is appropriate in terms of content and format, which will enable the investors to receive factual, correct and not misleading information related to
management is appropriate in terms of content and format, which will enable the investors to receive factual, correct and not misleading information related to the sale of investment units or the fund
, collateral requirement and the preparation for readiness to cope with price volatility, etc.; (f) legal risk management, such as by using standard form contract or otherwise there shall be specifying the
marking to market, collateral requirement and the preparation for readiness to cope with price volatility, etc.; (f) legal risk management, such as by using standard form contract or otherwise there shall
disseminating a credit rating that is the result or subject of the credit rating action and afford such rated entity, obligor, or arranger an adequate opportunity to clarify any factual errors, factual omissions
partially; (2) to correct the information or statements used in the advertisement or sales promotion; (3) to clarify to ensure that the investors receive the complete, correct, factual and non-misleading
, settlement and delivery of securities and assets, recording asset account of customers and funds, sale and redemption of investment units, NAV calculation or investment management. 8.2.4 Readiness of computer