, and adjudication by the court of justice, respectively. In this regard, the SEC will monitor the progress of the legal proceedings and cooperate fully with relevant agencies to support legal enforcement
information relating to side pocket operations, to enable unitholders to continuously monitor the status and progress of the assets.2. Revisions to the criteria on suspension of dealing, requiring AMCs to
securities trading activity or with only minimal trading, and where Enhanced CDD has been conducted but fails to establish a reasonable explanation; (3) Continuously monitor and scrutinize transactions of
security as well as supervise, monitor and examine compliance with such policies, measures, and operating systems, and review the suitability thereof regularly; In the interest of meeting the aforesaid
system to monitor any benefit on the loaned securities given by the issuer of the securities so as to compensate the lender for such benefit; (3) provide for a fair and transparent allocation procedure
collateral, and call for additional collateral from the borrower if necessary to maintain the collateral to loan ratio in compliance with Clause 9 (3); (2) have in place a system to monitor any benefit on the
9 (3); (2) have in place a system to monitor any benefit on the loaned securities given by the issuer of the securities so as to compensate the lender for such benefit; (3) provide for a fair and
appropriate. For the authorization under the first paragraph, the person with the proceeding power shall monitor and supervise the person authorized to segregate and manage the client’s assets in compliance